As a benefit to our clients, we issue regular briefings on the Hot Topics affecting compliance to help inform employees and improve procedures.
Hot TopICS
Sample Hot TopICS:
Clients benefit from Hot TopICS as they are issued and also our archive of previous articles. If you would like a free trial subscription, please call us on 01892 539600
Previous Hot TopICS:
- 2008 -10 Data Security
- 2008 - 09 Control and Approved Persons Lesson from Enforcement
- 2008 - 07 Possible Client Money Rule Changes
- 2008 - 06 Commission Disclosure for Commercial Customers
- 2008 -05 Financial Crime
- 2008 - 04 FSA Business Plan 2008-9
- 2008 - 03 Appointed Representatives and Networks
- 2008 - 02 ICOBS changes
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2008 - 01 Unfair Terms in Consumer Contracts Regulations
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- 2007 - 12 Treating Complainants Fairly
- 2007 - 10 HR Update
- 2007 - 09 Intermediaries Newsletter July 2007
- 2007-08 RMAR and Complaints changes
- 2007 - 07 Contract Certainty
- 2007 - 06 FSA DPA Thematic Review and client mandates
- 2007 - 05 Client Money Thematic Review
- 2007 - 04 telesales, ICOB changes and MPBRl
- 2007 - 03 Goodwill
- 2007 - 02 Companies Regulations 2006, FSA logo and RMAR-E changes
- 2007 - 01 PPI and Claims Management
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November 2005, Client Money and Auditors Responsibilities
- October 2005, RMAR – 4 Section J Fees and Complaints Reporting
- October 2005, Consultation by the FSA
- October 2005, Age Legislation
- September 2005, General Insurance Perimeter Crackdown by FSA
- September 2005, Client Money – FSA Questionnaire
- September 2005, 100% RT
- August 2005, Client Money Calculation
- August 2005, Audit Exemption for Small Firms
- July 2005, RMAR – 3
- July 2005, Fees, Client Money, Directors and Handbook
- June 2005, Notifications to FSA
- May 2005, Firms Online and FSA Communication
- May 2005, FSA Visits
- May 2005, Audits
- May 2005, Treating Customers Fairly
- April 2005, Quick Quotes
- March 2005, The shape of things to come
- March 2005, RMAR – 2
- February 2005, Handling Premiums
- February 2005, Promos
- February 2005, FOS FSCS fee reduction
- February 2005, Block Transfers
- February 2005, First RMAR