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Factsheet 003: Broker-arranged premium finance plans

Published: 05/09/2014   Last Modified : 08/06/2016

This factsheet explains the work and research we have done to understand brokers’ roles in arranging premium finance plans for their customers and our findings, our expectations of general insurance brokers who arrange premium finance plans for their customers to pay for their insurance, and the range of actions we are taking to address potential risks to customers.

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Factsheet 004: The FCA’s supervision of UK regulated covered bonds: Maintaining confidence in the UK regulated covered bond sector

Published: 05/09/2014   Last Modified : 10/08/2015

In this factsheet, we explain our role in supervising regulated covered bond programmes and regulated covered bonds, highlight key features of the regime and provide an overview of the FCA’s stress testing of these programmes.

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Factsheet 006: The Short Selling Regulation

Published: 05/09/2014   Last Modified : 12/09/2014

This affects firms that are subject to the provisions in the EU Short Selling Regulation – Regulation (EU) No 236/2012.

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Factsheet 007: Disclosing your firm’s charges and services

Published: 05/09/2014   Last Modified : 11/01/2016

On 31 December 2012, we introduced new requirements for firms giving personal recommendations. These requirements meant many firms had to change the way they charged customers for advice and change the way they described and delivered their services.

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Factsheet 009: Independent and restricted advice

Published: 05/09/2014   Last Modified : 11/01/2016

This factsheet is for you if you are a retail investment adviser – for example a financial adviser, wealth manager, multi-tied adviser, tied adviser, private banker or stockbroker.

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Factsheet 018: The role of accredited bodies

Published: 05/09/2014   Last Modified : 11/01/2016

This factsheet aims to help you understand the role of accredited bodies, our expectations of them and what this means for you.

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Factsheet 023: Suitability reports

Published: 05/09/2014   Last Modified : 11/01/2016

This factsheet is for you if you prepare suitability reports to be issued to private customers or monitor the quality of suitability reports others produce to issue to private customers

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Factsheet 030: Asking your customers what they think

Published: 05/09/2014   Last Modified : 05/09/2014

If you use a customer survey, think about the questions you are asking and whether they help you identify areas where you are or are not treating customers fairly and where improvements are needed. You could use this factsheet as a prompt to help you consider how you can capture fairness as well as satisfaction.

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Calculation of the clearing threshold, and related requirements for NFCs in the energy and oil production industry, review results

Published: 03/09/2014   Last Modified : 03/09/2014

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Introduction to ongoing reporting requirements retail

Published: 26/06/2014   Last Modified : 26/06/2014

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