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Showing 1 to 10 of 1393 search results for know your customer.

1. Change of legal status

   Tasks for firms Published: 06/08/2015 Last modified: 25/05/2023
   Find out how to notify or apply to us if you're changing your firm’s legal status.

2. IRHP: background to the review

   Consumers Know your rights Published: 26/05/2016 Last modified: 14/12/2021
   Information on why the review was conducted. 

3. Knowing your customer and assessing their needs

   Tasks for regulated firms Published: 21/12/2015 Last modified: 21/02/2023
   If you provide financial advice to retail clients, it's important to assess each customer's needs before making recommendations. We explain what you should consider.

4. Appointed representatives and networks

   Tasks for firms Published: 05/08/2015 Last modified: 19/07/2023
   Principals often have networks of appointed representatives (ARs). Find out how to control your networks to reduce risks to your business.

5. Assessing suitability

   Tasks for regulated firms Published: 19/02/2016 Last modified: 06/03/2020
   FCA outlines the process you should follow to assess suitability of for a client

6. How to apply for authorisation or registration

   Firms Firm authorisation Published: 24/05/2023 Last modified: 19/12/2023
   If your firm needs to be authorised by us, or registered with us, learn about the process, our expectations and how to apply.

7. Reaping the rewards of investing in women

   Speeches Published: 16/04/2024 Last modified: 24/04/2024
   Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at PIMFA Women’s symposium conference

8. Your rights with financial services

   Consumers Your rights Published: 20/03/2023 Last modified: 31/07/2023
   Your rights as a consumer are protected by law. Find out what to expect from your providers, and where you can go if something goes wrong.

9. Pension transfer advice: what to expect

   Consumers Published: 03/06/2020 Last modified: 15/04/2024
   Find out what to expect when getting advice about whether to transfer your defined benefit (DB) pension to a defined contribution (DC) pension.

10. Insurance: business practice, suitability and eligibility

    Tasks for regulated firms Published: 09/02/2016 Last modified: 04/12/2016
    The rules in ICOBS 7 were amended so they were closer to the wording in the Distance Marketing of Consumer Financial Services Directive (DMD). The requirements applying to insurers are unchanged.