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Information to be recorded on each representative should include:
A firm is required to retain these records for at least three years from the date of the termination or the amendment of the contract.
For tied agents the records must be retained for five years.
Changes have simplified and streamlined the new rules.
Lack of progress in establishing the quality and value of insurance products has prompted FCA action – here are the top 10 takeouts.
Mike Harrison | Bovill Newgate6 min read
PSR also publishes high-value APP scams review and consultation.
Jean Hurley2 min read
How to comply with compliance rules on both sides of the Atlantic without being penalised.
A focus on insurance – and more criticism of how the regulator itself handles whistleblowing in our latest roundup of FCA activity.
Martin Cloake2 min read
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.
The FCA is making changes to notification and disclosure requirements for OTC derivatives.
When carrying out an investigation, it can be too easy to lose sight of the bare facts, says Carroll Barry-Walsh.
Carroll Barry-Walsh3 min read