compliance

FSA Rules Compliance

When your business has been approved by the FSA you will be granted a number of permissions under Part IV of the Financial Services and Markets Act 2000. These FSA Rules Compliance permissions will be detailed in writing and also displayed on the FSA register. They detail which FSA services can be offered to which category of client.

Your firm must work within the FSA Rules Compliance permissions granted and it is therefore important for everyone within the firm (especially senior management) to maintain knowledge of what FSA services can be provided to which type of client. The FSA permissions form the basis of your regulated business activities.

Complying with FSA Compliance Rules:

This section of Compliance IT.com is the largest and covers the main areas of FSA Rules compliance, you should be considering.

• It virtually follows the same structure of the FSA Handbook with an emphasis on smaller, directly FSA authorised firms
• Each section covered offers downloadable FSA Rules Compliance documents and procedures to help you comply with the specific requirements and rules

Our FSA Rules Compliance Document Packs:

All FSA Rules Compliance documents and procedures can be tailored to your own firm and incorporated easily into existing procedures. If you have existing FSA procedures and just need stand alone FSA documents, these can also be incorporated. You just buy what you need to fill the gaps and make your processes and procedures more robust.

Each FSA Rules Compliance document and set of procedures gives explicit instructions covering:

• What the FSA Rules Compliance document or procedures are for
• Why they are needed
• What you need to do with the FSA Rules Compliance document or procedures
• How to tailor them to your firm
• What ongoing action is needed to ensure FSA compliance

Request compliance help today or visit our Compliance Shop and just buy what you need.