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Showing 1 to 10 of 1048 search results for know your customer.

  1. IRHP: background to the review

    Consumers Know your rights Published: 26/05/2016 Last modified: 21/11/2016
    Information on why the review was conducted. 
  2. Wealth management

    Consumers Published: 18/04/2016 Last modified: 20/07/2020
    Find out about wealth management services and how to make sure you get the service you expect.
  3. FSA - Customer File Reviews [pdf]

    Archive Published: 06/12/2007 Last modified: 03/08/2016
    This document is intended to help you consider the type of information you could get from reviewing a customer’s file. Think about your current process. Does it only act as a check for administrative errors or does it allow you to assess the
  4. Consumers

    Consumers Last modified: 04/05/2021
    Consumers can find out about their rights with banking, insurance, mortgages and financial advice, and how to complain or avoid scams.
  5. Regulatory sandbox - cohort 5

    Focus areas Tasks for regulated firms Published: 29/04/2019 Last modified: 20/05/2019
    29 businesses have been accepted into cohort 5 of the regulatory sandbox to test innovative products, services, business models and delivery mechanisms.
  6. Knowing your customer and assessing their needs

    Tasks for regulated firms Published: 21/12/2015 Last modified: 16/05/2016
    If you provide financial advice to retail clients, it's important to assess each customer's needs before making recommendations.
  7. How to claim compensation if a firm fails

    Consumers Complaints and compensation Published: 19/04/2016 Last modified: 28/08/2020
    If you are owed money by a financial firm that goes bust, you may be entitled to compensation. Find out more.
  8. Change of legal status

    Tasks for regulated firms Published: 07/08/2015 Last modified: 30/03/2021
    If we authorise your firm and you are thinking of changing its legal status, eg, from a partnership to a limited company - you must apply for authorisation for the new company.
  9. Information for general insurers and intermediaries in the UK

    Firms Published: 26/02/2019 Last modified: 25/01/2021
    A focus for UK-based general insurers is minimising the disruption for EEA-based customers (including expats), or policies with certain EEA risks.
  10. Brexit: information for life insurers in the UK about pensions and retirement income

    Firms Published: 26/02/2019 Last modified: 31/12/2020
    A focus for UK life insurers is their ability to continue to provide services to EEA-based customers (including expats).