Help for you
Tip Sheet Firms
The Challenges
- Compliance with the FSA's new rigorous approach to financial promotions in a way that is consistent with their business objectives
- Ensuring that the firm has the right authorisation to do the business it wants to carry on
- Dealing with FSA enquiries and threats of disciplinary action.
- Setting up internal procedures, notably on financial promotions, training and competence and complaints
Solutions
