This compliance pack provides the core documentation that you need to obtain a Secondary Credit Broking Licence from the UK FCA. With this digital bundle, you get easy-to-use resources that save you time. Which will help your firm meet FCA rules and make your application for authorisation straightforward.
Contained within This Secondary Credit Broking Compliance Pack is the full toolkit:
- Compliance Monitoring Plan Limited Permission. This document provides what is needed to prevent regulatory breaches, that FCA principles and Consumer Duty are met.
- Outsourcing Policy. This is a clear, practical policy to ensure any outsourcing arrangements meet regulatory obligations. Whilst protecting customers interests and personal data.
- Complaints Policy. A clear, practical template ensures customers are treated fairly and complaints are investigated impartially.
- Financial Crime Policy. A clear practical template to support the prevention and detection of financial crime.
- Financial Promotions Policy. A clear practical template ensures that all references to credit or finance made by the firm are clear, fair, balanced and compliant.
- Vulnerable Customer Policy. This gives you clear steps to spot and support customers who might need extra help. As a result, your team can grow their confidence and meet FCA guidance more easily.
- Regulatory Business Plan. This plan delivers a concise, ready-to-use framework for a variety of businesses who carry out credit.
Now, you can download the documents and start applying for your licence with confidence. Every resource helps your firm put customer outcomes at the centre of its work.
Who is this Secondary Credit Broking Compliance Pack for?
Perfect for Firms seeking authorisation (or variation of permission) to undertake Limited Permission – Secondary Credit-Broking activities.
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