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- Compliance
Compliance
Contact our Compliance Team on
01484 439 120
or email us at:
compliance@simplybiz.co.ukLooking for compliance documents?
All documents are held in the Vision area of the website
- FAQs
- In section D1 of the GABRIEL report - In box 2, what is the base requirement for Mortgage and General Insurance firms?
- In section D1 of the GABRIEL report - Which section of eligible capital do I complete?
- In section D1 of the GABRIEL report - In box 13 it is mentioned that additional own funds might be required for PII purposes. How would I know if I had to hold additional capital in this way?
- In section D1 of the GABRIEL report- For sole traders or partnerships what is the figure I should put in box 35: Personal assets not needed to meet non business liabilities?
- In section D1 of the GABRIEL report -For incorporated firms, how would I know what the share capital of my firm is to put in box 24?
- Am I registered with Simply Protect?
- I am completing my online BRAW assessment, can you tell me what are non-retail investment products?
- I have been selected for an online BRAW assessment, what can I expect?
- I am in the process of doing my BRAW online assessment, can you help with this question: 'Has the subordinated loan been paid to the firm or is it just an agreement to loan?'
- I'm doing my BRAW online review and I am unsure what a 'risk transfer agreement' is?
- Do I need to have cancelled my firm’s FCA authorisation by 31st March, to avoid forthcoming FCA fees?
- I’m wanting to include a client testimonial as part of a financial promotion, is there anything that I should be aware of?
- I want to produce an advert to promote mortgages but prefer to not include risk warnings, is there a way to do this?
- I’m a new adviser who has recently become directly authorised by FCA. How would I know when my GABRIEL returns are due?
- I have received an email from the FCA with regards my Regulatory Fees and Levies 2014/15. What do I need to do?
- I am considering calling individuals to promote my investment services. Is this permitted under the cold calling rules?
- Can I use a single platform and remain independent?
- Since the introduction of the RDR, am I able to allow my client to pay the initial adviser by instalments?
- There are two of us in the company, both advising, we’re both Directors. We don’t have any supervisors in the company. How should we report this in Section G box 4?
- What is the difference between Structured CPD and Unstructured CPD?
- What is a UCITS fund and a non-UCITS fund?
- When should a Key Investor Information Documents (KIIDs) be issued?
- I’ve recently received an invitation from the FCA to take part into a MMR on-line survey. Is this compulsory?
- Is it true that if I remove a CF30 adviser by 31st December I won’t have to pay FCA fees for them in the next FCA fee year?
- When should I renew my SPS (Statement of Professional Standing)?
- What is a high net worth mortgage customer?
- Post the mortgage market review, do I have to give a suitability report for a normal mortgage?
- When do the revised rules for the Mortgage Market Review come into effect?
- I'm doing my BRAW online review and I am unsure what a 'risk transfer agreement' is?
- I have received a complaint in the reporting period which relates to business I wrote whilst I was an Appointed Representative. Does this need to be shown on my GABRIEL return?
- I received a complaint in the period but I resolved the issue the same day, do I need to record this in my Gabriel report?
- I’ve received an email from the FCA regarding an online Business Risk Awareness assessment. Am I the only one or have other firms received this?
- I am in the process of completing my GABRIEL return Section L. I have not set up any Group Personal or Stakeholder Pension Scheme’s in the period, how do I complete this section?
- When giving advice to Limited companies, does the Consumer Credit Act (CCA) apply, or is it only applicable to individuals?
- Is it an FCA rule that I must issue a suitability report for mortgage advice?
- I am completing my online BRAW assessment, what are non retail investment products?
- An old client has contacted me who now lives in Australia, the client wants some advice on an investment. Am I able to advise the client?
- In my Gabriel Report should I include an amount for outstanding ongoing service fees in the Debtors box in the Balance Sheet (Section A)?
- What is the minimum examination requirement for mortgage advice?
- I am an investment adviser. What is the situation if my Statement of Professional Standing (SPS) isn’t renewed?
- Where are the non-advised annuity sales process documents located on your website?
- When does the Mortgage Market Review (MMR) come into effect?
- How do I satisfy the FCA of my readiness to meet the deadline for the Mortgage Market Review?
- How long will it take for the FCA to approve my new adviser?
- Are interest only mortgage loans banned under the Mortgage Market Review rules?
- When will the new Section D6 appear on the GABRIEL reports?
- Where are the investment suitability reports located on the SimplyBiz website?
- What is Online Invoicing?
- Can I just advise someone on transferring their pension to a SIPP, without discussion of the assets held by the wrapper?
- I am considering changing the ownership/shares in my company, do I need to involve the FCA?
- I am struggling to obtain paper ID for my clients, is there an alternative way of carrying out money laundering checks on my clients?
- My regulatory fees have increased considerably this year from last year. Do you know why?
- In respect of the FCA's online Financial Incentives Survey, what is my FCA category?
- Useful Links
- Compliance Documents (Vision)
- FAQs
- Pensions
Pensions
Contact our Pensions Team on
01484 439 126
or email us at:
pensions@simplybiz.co.uk - Investments
- Mortgages Protection & GI
Mortgages Protection & GI
Contact our Mortgages Team on
01484 439 160
or email us at:
info@simplybiz.co.uk - Events, Webinars & CPD
Events, Webinars & CPD
Contact our Development Team on
01484 439 122
or email us at:
info@simplybiz.co.uk - Connect
Connect
Contact SimplyBiz on
01484 439 122
or email us at:
info@simplybiz.co.uk - Your Proposition
Your Proposition
Contact our Marketing Team on
01484 439 122
or email us at:
info@simplybiz.co.uk - Knowledge Centre
Knowledge Centre
Contact our Marketing Team on
01484 439 122
or email us at:
info@simplybiz.co.uk - Your Business
Your Business
Contact our Marketing Team on
01484 439 122
or email us at:
info@simplybiz.co.uk