Financial Conduct Authority – information

We are authorised and regulated by the Financial Conduct Authority.

FCA Principles

A firm regulated by the authority must exhibit:

  1. integrity – conduct its business with integrity
  2. skill, care and diligence – conduct its business with due skill, care and diligence
  3. management and control – take reasonable care to organise and control its affairs, responsibly and effectively, with adequate risk management systems
  4. financial prudence  – maintain adequate financial resources
  5. good market conduct – observe proper standards of market conduct
  6. care for customer interests  – pay due regard to the interests of its customers and treat them fairly
  7. good communications with clients – pay due regard to the information needs of its clients and communicate information to them in a way which is clear, fair and not misleading
  8. fair conflict of interest management – manage conflicts of interest fairly, both between itself and its customers and between a customer and another client
  9. trust in customer relationships – must take reasonable care to ensure the suitability of its advice and discretionary decisions for any customer who is entitled to rely upon its judgement
  10. due care in protection of clients’ assets – arrange adequate protection for clients’ assets when it is responsible for them
  11. openness and cooperation in relations with regulators – deal with its regulators in an open and cooperative way, and must disclose to the appropriate regulator anything relating to the firm that the regulator would reasonably expect to be told about

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