Compliance Updates
The Role of the Principal of a Firm
The Financial Conduct Authority (FCA) expects principal firms to exercise effective oversight and supervision of their appointed representatives (ARs) to ensure compliance with regulatory requirements
COMPLIANCE UPDATE | Amendments to the Risk Process
Connect has recently updated its Risk Process following an internal review to ensure our approach to overseeing Appointed Representatives (ARs) remains clear, consistent and effective.
Navigating Customer Vulnerability Webinar
In today’s world, many customers are facing financial pressures, changing circumstances and personal challenges that can make accessing financial services difficult. Vulnerability remains a key
Don’t miss our Mortgage Fraud Live Stream!
Join us for a live event about mortgage fraud on Wednesday 17 June from 10:30am to 11:15am Sign up today – don’t wait! What to expect You’ll be joined by a
Controller DYA Process
Whilst using the Case Management team to submit your cases works great for most advisers, there are occasions where firms may want to take on
The Benefits of having an FCA Number
Anytime an Appointed Representative (AR) joins Connect, they are given an FCA number, whether they conduct regulated activity or not. There are many advantages to
END OF COMPLIANCE UPDATES