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Misleading Promotions: Ask Yourself… Is It Too Good to be True?
08 Sep 2022

Misleading financial promotions can catch many unsuspecting consumers out. And whilst these promotions are punishable, many consumers and people involved within the FCA regulated markets, such as the automotive industry, are not equipped to spot a misleading financial promotion.

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SM&CR
Report Suspected Market Abuse Today Using Correct Protocol and Processes
28 Jul 2022

Suspected market abuse within a Financial Conduct Authority regulated firm can be reported by both individuals and firms or trading venues to the FCA directly, in order to help keep the financial market a safe space to operate within for all. It is important to understand the correct protocol and processes to follow when reporting market abuse.

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Ensure Fair Treatment of Vulnerable Customers in FCA Regulated Markets
What Steps can be Taken to Ensure Fair Treatment of Vulnerable Customers in Regulated Markets?
28 Jul 2022

The FCA TCF (Financial Conduct Authority Treating Customers Fairly) puts customers at the forefront of financial dealings. This key principle of the FCA ensures all consumers of financial dealings receive fair treatment – including vulnerable customers.

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An Appointed Representative can help you achieve compliance as a principal firm
How Can You Achieve Better Compliance as a Principal Firm and Appointed Representative?
13 Jun 2022

An appointed representative adheres to the regulations set by the FCA through their conduct of financial services to ensure a fair service is provided for both individual consumers and the financial market as a whole through the support and guidance of their Principal Firm.

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report misleading financial promotions
How to Properly Tackle and Report Misleading Financial Promotions
13 Jun 2022

Whilst the latest financial promotion you see plastered across your screens may seem tempting – offering numerous benefits or quick fixes to cash flow problems, for instance – this may be too good to be true.

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Treat Customers Fairly: How to Evidence That the Customer is at the Heart of The Outcome?
21 Oct 2021

Financial Conduct Authority (FCA) is a regulatory body that oversees the UK’s markets and financial services industry. Their primary objectives are to protect consumers and promote competition in Britain’s financial markets. They also have the aim of ensuring firms treat their customers fairly.

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What is SM&CR? (Senior Management & Certification Regime)
21 Oct 2021

The Senior Managers & Certification Regime (SM&CR) is a requirement for all firms regulated by the Financial Conduct Authority. Firms that are not solo-regulated by the FCA must comply with SM&CR if they have more than one senior manager or control essential systems and processes at their firm. What does this mean?

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ASUK Automotive Systems
How Can KPIs Support Your Business
29 Sep 2021

KPI’s are performance indicators that the automotive industry uses to monitor performance. They do this because it enables them to make more effective business decisions, which in turn, helps them to achieve their company goals.

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6 TCF Principles
What is FCA Compliance?
28 Sep 2021

The Financial Conduct Authority is a governing body that aims to ensure financial markets work effectively, as this benefits not only the consumers but the economy as a whole. The FCA does this by regulating the conduct of roughly 58,000 businesses.

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