FCA Register explained for practitioners – Part 1
Charlie Palmer
Frustrated by the FCA register? I just made a couple of video explainers: The first one is here….some IFAs will want to give this to
Frustrated by the FCA register? I just made a couple of video explainers: The first one is here….some IFAs will want to give this to
FCA warned today the 26th March 24, that using social media promotions involves no less compliance than standard page adverts, and if not signed off
BAT Software Compliance management system features Below is a list of key modules that are provided to minimise the compliance risks: File checking report for new
Feature-rich technology✓ No tie-in ✓ Client portal ✓ Easy CSV import ✓ Client messaging ✓ Regulatory reporting ✓ Document and policy sharing ✓ E-signatures ✓
Follow this guide to help onboard prospects. Several people asked BAT to provide some tool to manage the on-boarding of clients, as phone calls lead
Cashflow forecasting tool Workflow Bring policies into the frame for advice Use editable FF, join with other FF for joint view
Robo-paraplanner Suitability report writing software Compliance automation; crm system for IFAS for IFAs, Networks, mortgage brokers and PSD firms Robo data BAT auto paraplanner
The Senior Managers and Certification Regime (SM&CR) is a regulatory framework implemented by the Financial Conduct Authority (FCA) in the United Kingdom. It was introduced
