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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.
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.
This affects firms that are subject to the provisions in the EU Short Selling Regulation – Regulation (EU) No 236/2012.
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.
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.
This factsheet aims to help you understand the role of accredited bodies, our expectations of them and what this means for you.
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
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.
Use this area to find forms, policy and decision-making documents, consultation papers, research and other useful information. Enter your search term, or choose a type, for a list of documents available to view, download or print.
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