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Portfolio
Is There Now More Expectation Placed on Appointed Representative Responsibilities?
24 Oct 2022

Through the Financial Conduct Authority’s Appointed Representative model, the responsibilities of an appointed representative (AR) are largely mitigated by the principal firm authorising their financial activities. However, due to the rising harm seen by the FCA during recent years, last year the FCA announced it would be tightening the regulations and responsibilities surrounding ARs and their principal firms for greater compliance.

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The Rise in Financial Harm Across Regulated Markets
The Rise in Financial Harm Across Regulated Markets
17 Oct 2022

The recent rise in financial harm experienced by the Financial Conduct Authority, or FCA, within FCA regulated markets has meant the body has strengthened regulations surrounding Principals and their networks. This action signals the adaptability of the FCA in addressing the current requirements of the financial market, helping to keep the market stable and a safe space to operate in.

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11 principles of business: 11 FCA principles of business
Treating Customers Fairly: What are the 11 Principles of Business?
05 Oct 2022

The Financial Conduct Authority’s 11 Principles of Business are guiding fundamentals a business must adhere to whilst regulated by the FCA. These principles communicate how a business must conduct itself and the standards the FCA will hold it to.

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

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).

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

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.

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

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.

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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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