Posted on 19 Apr 2017
Financial Year End: 28 February 2017 – Submit Annual Financial Statements to FSB by 30 June 2017 All FSPs whose financial year end was 28 February 2017 must ensure that their financial statements are submitted to the FSB by 30 June 2017. Please be sure that your accounting records have been sent to your accountants … Continued
Posted on 19 Apr 2017
The Financial Services Board (FSB) has issued a Frequently Asked Questions (FAQs) document to assist insurers to implement and comply with the Demarcation Regulations. The FAQs are grouped into 8 categories: Implications of the 1 April 2017 effective date of the Demarcation Regulations Product descriptions (regulation 7.2) Underwriting (regulation 7.3(2)-(4)) Waiting periods, variation and termination … Continued
Posted on 19 Apr 2017
The Treating Customers Fairly (TCF) framework consists of six outcomes which sets out the conduct which FSPs must display during the financial planning process and in every facet of the business. Outcome 1 – ‘Customers are confident that they are dealing with firms where the fair treatment of customers is central to the firm culture’ … Continued
A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.
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