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SUP 6B.4 Limitations and requirements which the FCA could impose when working out its segment 55J and 55L powers
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Consider how they talk to vulnerable customers, getting into account their requires. Where by doable, corporations need to present multiple channels so vulnerable buyers Have got a preference.
Selected companies is going to be needed to publish facts of their funds accessibility assessment requirements, and to notify the FCA of any sizeable adjustments to this. Corporations may also be needed to establish a course of action to permit evaluation results to generally be reviewed.
The place a substantial effects is identified, all specified corporations will likely be chargeable for putting in place added companies. The FCA expects these providers for being in position within just 3 months, unless in Remarkable conditions.
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Be certain frontline personnel have the necessary competencies and ability to recognise and reply to A variety of characteristics of vulnerability.
Think about the potential positive and destructive impacts of the service or product on susceptible customers. Style and design services to avoid probable dangerous impacts.
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This sites British isles law at some distance from your EU’s 4th and 5th AML Directives, which nonetheless mandate a uniform EDD regime for all PEPs without the need of distinguishing concerning domestic and foreign exposure.
Declined to introduce rigid “declassification intervals”, protecting adaptability but encouraging documentation of prompt assessments article tenure.
MCOB 11A.3 Getting information for, and assessment of, affordability from The patron and rejecting an application
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