A clear, practical Financial Promotions policy. Enabling you to ensure that all financial promotions and communications comply with the Financial Services and Markets Act 2000 (FSMA). As well as the FCA Handbook, specifically CONC 3 – Financial Promotions and Communications with Customers.
What’s Included in this Financial Promotions Policy for Credit Broking:
- Defined roles and responsibilities for staff, compliance, and senior management
- Content Requirements
- Oversight and monitoring
- Escalation, and recordkeeping
Who is this policy it for
Firms looking to get FCA authorised (or variation of permission) to provide their customers with credit. Known as the regulated activity of Limited Permission – Secondary Credit-Broking activities.
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