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FCA Enforcement Powers

The FCA's Enforcement Powers The FCA’s Discipline & Enforcement Powers  The FCA has powers which allows them to carry out: 1. General Investigations – Into the business as a whole 2. Specific Investigations – Focused on the activities of an authorised person. A...

Endowments & Friendly Society Plans

Endowments & Friendly Society Plans Introduction Endowments are target investments that are based on life assurance. They are set up as regular savings plans, and at the end of a set period they pay out a lump sum. There are various types of endowment policies. The...

Training & Competence

Training & Competence Training & Competence The FCA Training and Competence sourcebook sets out detailed requirements for the training and competence of employees that work in a controlled function. The FCA sets standards for appropriate exams required to carry...

Principles for Supervision

Principles for Supervision Priority of Supervision Firms were previously allocated across the C1 – C4 conduct categories, with C1 being the highest risk and C4 the lowest risk. Firms were categorised based on their size, market presence and customer footprint....

Private Pensions

Private Pensions Introduction Private Pensions are also referred to as Personal Pensions or Private Personal Pensions. They are individual contracts between the member (individual) and the pension provider, and they are set up by the member. The pension provider is...

State Benefits – Health Conditions

State Benefits Benefits for people that are sick or have a disability Employment & Support Allowance – (ESA) Employment and Support Allowance is for people who have a health condition or disability that makes it harder for them to work. ESA replaced...

State Benefits – Raising Children

State Benefits Benefits for people Raising Children Child Benefit Child Benefit is a tax-free benefit that can be claimed for each child that an individual is responsible for (they do not have to be their parent), regardless of whether the individual is working or has...

Resources

Resources Mortgage Comparison   moneysupermarket.com/mortgages uswitch.com/mortgages/buy-to-let b2bfinance.com money.co.uk/mortgages/buy-to-let-mortgages.htm gocompare.com/loans/bridging-loans moneyexpert.com/loans/bridging-loans Credit Reference Agencies  ...
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