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FCA fines HSBC £6.2 million over treatment of customers in financial difficulty
Key harms and drivers of harm caused by Appointed Representatives (ARs) and Introducer Appointed Representatives (IARs) that undertake credit broking
FCA Policy Statement on Consumer Credit Product Sales Data Reporting
Avoid these common errors in Asset Management authorisation
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Compliance Manual Section Contents

Compliance Manual Section Contents

Compliance Manual Section Contents ...

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S01 Introduction & Contents

S01 Introduction & Contents

Introduction to the Thistle Initiatives Manual and its key components, plus the full list of sections...

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S02 Authorisation

S02 Authorisation

What authorisation means, threshold conditions, permissions, controllers, introducing, supervision, register...

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S03 SMCR

S03 SMCR

Overview, senior managers functions, SYSC, statement of responsibilities, fir & proper, principles,...

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S04 Management SYSC

S04 Management SYSC

Overview, principles, FCA supervision, apportionment of responsibilities, product governance, financial...

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S05a Financial Resources

S05a Financial Resources

Overview, firm categories, capital resources, PII, accounting, auditing requirements ...

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S05b Financial Resources MIFIDPRU

S05b Financial Resources MIFIDPRU

Overview, rules that apply, MIFIDPRU group composition, risk monitoring and reporting, ICARA, own funds,...

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S06 Training & Competence

S06 Training & Competence

Scope, supervisors, significant influence functions, job roles, examinations, failure policy ...

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S07 Complaints

S07 Complaints

Definition, FOS, handling, eligible complainants, complaints officer, quick resolution of complaints,...

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S08 Reporting & Notifications

S08 Reporting & Notifications

Reporting to the FCA, integrated regulatory reporting, reporting systems, RegData, Connect, updating/attesting...

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S09 Client Money & Assets

S09 Client Money & Assets

Overview for all firms handling client money ...

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S09a Client Money - FA Mortgage

S09a Client Money - FA Mortgage

Client money requirements for financial advisers and mortgage intermediaries, RMAR and notifications,...

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S09b Client Money - GI

S09b Client Money - GI

Client money requirements for GI intermediaries, risk transfer, statutory trust client account, non-statutory...

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S09c Client Money - MIFIDPRU

S09c Client Money - MIFIDPRU

Overview, SNI controlling but not holding client money and assets, Non-SNI holding client money and assets ...

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S10 Stationery & Financial Promotions

S10 Stationery & Financial Promotions

Financial promotions overview, specific rules by sector, cold calling, internet and website, stationery,...

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S11 Financial Advisory Sales Process

S11 Financial Advisory Sales Process

COBS overview, inducements and gifts, disclosure requirements, client categorisation, sales process,...

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S12 The Consumer Duty (Incorporating TCF)

S12 The Consumer Duty (Incorporating TCF)

Overview, what is it, TCF and smaller firms, TCF Review ...

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S13 AML & Prevention of Financial Crime

S13 AML & Prevention of Financial Crime

Introduction and regulations, key objectives, multipartite relationship, SM responsibility, nominated...

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S14 Appointed Representatives

S14 Appointed Representatives

Responsibilities of principal and AR, practical information, contracts, multiple principals, AR and Approved...

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