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How are Vulnerable Customers Identified within FCA Regulated Markets and Industries?
09 Sep 2022

Blog/ How are Vulnerable Customers Identified within FCA Regulated Markets and Industries? How are Vulnerable Customers Identified within FCA Regulated Markets and Industries? How Are Vulnerable Customers Identified? Call Email Contact Form The Financial Conduct Authority regulates the UK financial market – which includes automotive dealerships. One of the key principles of the Financial Conduct Authority, also referred to as the FCA, is the protection of consumers through fair treatment (treating customers fairly, or, FCA TCF). Treating customers fairly involves access to clear information and unbiased advice, products which meet the expectations set by the firm, and the ability to…

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Reporting Suspected Market Abuse: Why It’s Important for your Team to be Knowledgeable and Vigilant
09 Sep 2022

Blog/ Reporting Suspected Market Abuse: Why It’s Important for your Team to be Knowledgeable and Vigilant Reporting Suspected Market Abuse: Why It’s Important for your Team to be Knowledgeable and Vigilant Reporting Suspected Market Abuse The financial market is particularly susceptible to corruption – with the potential effects of this being devastating. It is particularly important, therefore, that when working within the financial sector such as at an automotive dealership, you remain vigilant about the common forms of financial corruption, including market abuse, reporting suspected market abuse as it arises. Call Email Contact Form What is market abuse?   Market…

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Reporting Suspected Market Abuse: Does Your Team Know How to Report Market Abuse?
08 Sep 2022

Blog/ Reporting Suspected Market Abuse: Does Your Team Know How to Report Market Abuse? Reporting Suspected Market Abuse: Does Your Team Know How to Report Market Abuse? Reporting Suspected Market Abuse: Does Your Team Know How to Report Market Abuse? Once equipped with the ability to understand and spot suspected market abuse, your team should be confident in reporting it. Reporting market abuse is the only way to manage the integrity of the financial market, and ensure it is a fair platform for all to invest in. Working within the automotive industry, your team should be knowledgeable about reporting market…

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

Blog/ Misleading Promotions: Ask Yourself… Is It Too Good to be True? Misleading Promotions: Ask Yourself… Is It Too Good to be True? Misleading Promotions: Ask Yourself… Is It Too Good to be True? 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. Take another read over the fine print, talk with family and friends, and most importantly, ask yourself… is it too good to be true? This blog discusses…

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

Blog/ Report Suspected Market Abuse Today Using Correct Protocol and Processes Report Suspected Market Abuse Today Using Correct Protocol and Processes Report Suspected Market Abuse Today Using Correct Protocol and Processes 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. Identifying market abuse Market abuse can affect all those involved – from…

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

Blog/ What Steps can be Taken to Ensure Fair Treatment of Vulnerable Customers in Regulated Markets? What Steps can be Taken to Ensure Fair Treatment of Vulnerable Customers in Regulated Markets? What Steps can be Taken to Ensure Fair Treatment of Vulnerable Customers in Regulated Markets? Treating Customers Fairly 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. Neglect or a lack of support for vulnerable customers can harm the financial system and…

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Appointed Representative
How Can You Achieve Better Compliance as a Principal Firm and Appointed Representative?
13 Jun 2022

Blog/ How Can You Achieve Better Compliance as a Principal Firm and Appointed Representative? How Can You Achieve Better Compliance as a Principal Firm and Appointed Representative? How Can You Achieve Better Compliance as a Principal Firm and Appointed Representative? 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. As of 2022, the Financial Conduct Authority is tightening their requirements and regulations of Appointed Representatives…

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

Blog/ How to Properly Tackle and Report Misleading Financial Promotions How to Properly Tackle and Report Misleading Financial Promotions How to Properly Tackle and Report Misleading Financial Promotions 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. Avoid the financial pitfall – be aware of, and properly tackle, misleading financial promotions to prevent falling into luring traps. This guide goes over what a misleading financial promotion, advert, or contract is, and what steps…

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

Blog/ How to Evidence That the Customer is at the Heart of The Outcome? Treat Customers Fairly: How to Evidence That the Customer is at the Heart of The Outcome? Treat Customers Fairly: How to Evidence That the Customer is at the Heart of The Outcome? 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. Many companies don’t realise how important this principle is for long-term…

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