Your People

e-Documents

Why is culture and conduct so important?

The FCA Business Plan 2016/17 continues to concentrate on improving the governance and culture of regulated firms. But now they’re focusing on how effective a firm is when it comes to delivering good governance, which means you need to consider more than just your structure and design.

Why is culture and conduct so important? (PDF, 389KB)

e-Documents

Aviva Development Zone

This online learning and assessment system was created in association with RWA e-Learning to provide all your training needs and help you stay one step ahead.

It's engaging challenges and extensive database of learning material combine to help you reduce risks, develop and grow.

Aviva Development Zone (PDF, 304KB)

e-Documents

What is the People with Significant Control register?

The People with Significant Control (PSC) register is the new public register that’s being introduced as a result of the Small Business, Enterprise, and Employment Act 2015.

What is the People with Significant Control register? (PDF, 109KB)

e-Documents

Vulnerable Customers

In 2015, the Financial Conduct Authority (FCA) challenged the financial services industry to improve their dealings with vulnerable customers. Their ‘Occasional Paper on Consumer Vulnerability’ drew attention to the need to protect customers in vulnerable circumstances and kick-started discussions on how the regulator and industry can work together to address issues around vulnerability. In light of the report, we’ve collected information and advice to help you understand what a vulnerable customer is and the best ways to treat them.

Vulnerable Customers (PDF, 73KB)

Balancing staff rewards with customer risks

FCA guidance for incentives and remuneration

For several years, the Financial Conduct Authority (FCA) has been reviewing the influence that financial services staff incentives have on sales performance and practices, and how this impacts the fair treatment of customers. Here’s a summary of their review and what you can do to stay compliant.

FCA guidance for incentives and remuneration (PDF, 680KB)

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