Regulated firms need to follow the rules to ensure they run their businesses in the best interests of consumers and uphold the integrity of the financial services industry.
In this section you’ll find one-minute guides offering quick and easy checklists, advice and information.
We also guide you on how to:
The fit and proper test is a benchmark used to assess an individual’s suitability to perform a controlled function. The most important considerations are the individual's honesty, integrity and reputation; competence and capability; and financial soundness.
COBS took effect from 1 November 2007. It replaced COB (the FSA sourcebook for investment business) and ECO (the specialist sourcebook implementing the Electronic Commerce Directive).
The financial promotions regime exists to protect consumers from unfair, unclear or misleading marketing. In many cases, advertising is the first contact firms have with their potential future customers.
Good practice means using the best ways of working to achieve your business objectives. Find out how to promote good practice in your firm.
One-minute guides are designed to quickly explain a range of FCA topics and policies in simple terms. These guides make a useful starting point if you are new to a specific subject.
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