Welcome to our Compliance Hub. Designed with you in mind, here you will be able to access all of the very latest compliance documents. To search, all you need to do is type in a name or phrase and a series of suggestions will be offered to you.
Here is a library of very useful F & TRC Rating Sheets. These are a great way of comparing products and provide handy information about their F & TRC Rating.
HOW DO I?
You’ll be aware from the definition of a breach that there are many conceivable instances where a breach could occur, but the most common breaches we have encountered, in no particular order, are listed below:
- Advertising – unapproved advert used
- Advertising – unapproved website or directory listing on the internet
- Sales Process – insufficient documentation retained to support your advice
- Sales Process – a ruling from our Advice Standards not followed correctly
- Data Protection – client documents stored on an incorrect record
- Data Protection – personal information shared with a third party not entitled to it
- Record Keeping – remedial work not carried out
- Record Keeping – a record of the sale not recorded on The Key within required timescales
Please remember that we are here to support you in giving great advice to your clients. If you have any concerns please speak to your Sales Manager or myself as we are keen to help you.