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Showing 11 to 20 of 115 search results for adequate professional indemnity insurance.
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Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
Generally speaking, we found very poor standards of advice. Firms typically failed to carry out an adequate assessment of the customer’s overall financial position, needs, attitude to risk and objectives ... Firms should be open and honest with their -
Compliance and other support
If you decide to get compliance support, it is important to consider what service your firm needs. See what types of support maybe helpful to your firm. -
Defined benefit pension transfers
Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area. -
FCA statement on Assessing Suitability Review 2
FCA statement on Assessing Suitability Review 2 -
RMA-G Training and competence: FAQs
RMA-G Training and competence: FAQs -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
Payment institution applicants
Find out what conditions you must meet to become a payment institution, and what to include in your application to be authorised by or registered with the FCA. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
Electronic money institution applicants
Find out what conditions you must meet to become an e-money institution, and what to include in your application to be authorised by or registered with the FCA. -
CP19/20: Our framework: assessing adequate financial resources
The FCA are consulting on the purpose of adequate financial resources, what we look for from firms, and our expectations as to the practices firms should adopt within their assessments of adequate financial resources.