FCA Regulation

Topics

Vulnerable Customers Vulnerable Customers by	14 replies 390 views 8 likes	Anonymous 29 Mar 2022
Yet another email received today Yet another email received today by	13 replies 462 views 0 likes	Anonymous 28 Feb 2022
FCA Late Submission Fine FCA Late Submission Fine by	4 replies 281 views 0 likes	Anonymous 25 Feb 2022
CPD CPD by	5 replies 170 views 0 likes	Anonymous 25 Feb 2022
Gabriel - complaint Gabriel - complaint by	1 replies 164 views 0 likes	Anonymous 4 Feb 2022
Immoderate & Inordinate Compliance Immoderate & Inordinate Compliance by	15 replies 437 views 4 likes	Anonymous 15 Jan 2022
Vulnerable Clients & PI Cover Vulnerable Clients & PI Cover by	20 replies 513 views 1 likes	Anonymous 12 Jan 2022
General Measures report General Measures report by	47 replies 986 views 10 likes	Anonymous 11 Jan 2022
Ex Partner in Debt Management Scheme Ex Partner in Debt Management Scheme by	1 replies 87 views 0 likes	Anonymous 15 Dec 2021
FCA fees FCA fees by	53 replies 2,080 views 1 likes	Anonymous 15 Dec 2021
FCA doubling the minimum fee- get your wallets open! FCA doubling the minimum fee- get your wallets open! by	21 replies 616 views 5 likes	Anonymous 3 Dec 2021
becoming DA (when you have been removed from a lender) becoming DA (when you have been removed from a lender) by Anonymous	15 replies 422 views 0 likes	Anonymous 14 Oct 2021
Can I do this or do you think I would be breaching my Permissions? Can I do this or do you think I would be breaching my Permissions? by	3 replies 261 views 0 likes	Anonymous 8 Oct 2021
FCA is going to slash & burn the small broker market. FCA is going to slash & burn the small broker market. by	24 replies 878 views 14 likes	Anonymous 4 Oct 2021
Anyone else having trouble accessing RegData today? Anyone else having trouble accessing RegData today? by	0 replies 51 views 0 likes	Anonymous 22 Sep 2021
Do we need a Standard DBS Check Do we need a Standard DBS Check by	4 replies 159 views 0 likes	Anonymous 20 Sep 2021
Yet another questionnaire which isn't mandatory, but is mandatory, but not, though it is! Yet another questionnaire which isn't mandatory, but is mandatory, but not, though it is! by	66 replies 1,185 views 9 likes	Anonymous 20 Sep 2021
FCA staff FCA staff by	2 replies 213 views 0 likes	Anonymous 1 Sep 2021
Consumer credit license Consumer credit license by	21 replies 382 views 1 likes	Anonymous 28 Jul 2021
How much "Consumer Credit" income do you generate per annum? How much "Consumer Credit" income do you generate per annum? by	8 replies 344 views 0 likes	Anonymous 23 Jul 2021
Reference from previous firm Reference from previous firm by Anonymous	5 replies 137 views 0 likes	Anonymous 23 Jul 2021
Close Ltd co, start another Close Ltd co, start another by Anonymous	6 replies 203 views 0 likes	Anonymous 13 Jul 2021
More regulation?! More regulation?! by	0 replies 50 views 0 likes	Anonymous 11 Jun 2021
Lead generation website Lead generation website by Anonymous	6 replies 207 views 0 likes	Anonymous 14 May 2021
RegData completing (gabriel) RegData completing (gabriel) by	3 replies 123 views 0 likes	Anonymous 5 May 2021
Moving to RegData from GABRIEL Moving to RegData from GABRIEL by	14 replies 322 views 0 likes	Anonymous 4 May 2021
AML/financial crime training AML/financial crime training by	7 replies 263 views 1 likes	Anonymous 28 Apr 2021
Number of employees that give advice (FTE) Number of employees that give advice (FTE) by	5 replies 90 views 0 likes	Anonymous 27 Apr 2021
Senior Managers and Certification Regime Senior Managers and Certification Regime by	104 replies 2,412 views 5 likes	Anonymous 26 Apr 2021
Small DA Firm Looking for Complaince Support. Small DA Firm Looking for Complaince Support. by	5 replies 181 views 0 likes	Anonymous 26 Apr 2021
Vulnerable customers policy Vulnerable customers policy by	11 replies 166 views 1 likes	Anonymous 14 Apr 2021
HLP & True Cost HLP & True Cost by Anonymous	4 replies 144 views 0 likes	Anonymous 1 Apr 2021
Capital Adequacy in crypto Capital Adequacy in crypto by Anonymous	4 replies 114 views 1 likes	Anonymous 30 Mar 2021
FCA True Cost FCA True Cost by	8 replies 187 views 0 likes	Anonymous 22 Mar 2021
DA Application DA Application by Anonymous	50 replies 976 views 9 likes	Anonymous 16 Mar 2021
Introducers Introducers by	14 replies 257 views 7 likes	Anonymous 4 Mar 2021
What the ..... What the ..... by	21 replies 531 views 0 likes	Anonymous 2 Mar 2021
File Checks File Checks by Anonymous	4 replies 284 views 0 likes	Anonymous 17 Feb 2021
Levy charge Levy charge by	5 replies 135 views 0 likes	Anonymous 11 Feb 2021
Directory of certified and assessed persons Directory of certified and assessed persons by	6 replies 193 views 0 likes	Anonymous 10 Feb 2021