E-Learning Login
Compliance Portal
ICO publishes guidance to ensure lawful workplace monitoring
The Information Commissioner’s Office (ICO) is calling on organisations to consider both their legal obligations and their workers’ rights before they implement any monitoring in the workplace. With the rise of remote working and developments in the…
FCA reminds firms about ICO guidance in relation to direct marketing and regulatory communications
The FCA has updated its ‘Consumer Duty – information for firms’ page to remind firms about data protection law and customer communications. Under the Consumer Understanding outcome, the FCA expects consumers to be given the information they need, at the right…
FCA confirms the move to seven-digit firm reference numbers (FRNS) and product reference numbers (PRNS)
The FCA announced in June last year that it would eventually be moving to seven-digit Firm Reference Numbers (FRNs) and Product Reference Numbers (PRNs). In early July the FCA informed the Association of Professional Compliance Consultants (APCC) that it…
FCA writes to and provides an update for Principal firms about the inclusion of their ARs in their PII cover
The FCA has written to Principal firms by e-mail in relation to their PII cover, setting out its requirements for the inclusion of a Principal firm’s ARs within the PII contract terms. The FCA confirms that it has increased its engagement with Principal firms…
FCA issues thematic questionnaire about product governance, oversight, fair value and distribution chains
The FCA has commenced a second wave of product oversight and governance thematic review work, to understand whether the product reviews, including fair value assessments and product distribution reviews are being undertaken in line with the FCA’s expectations…
FCA publishes review results - good and poor practice in the general insurance market
In December 2022, the FCA issued a questionnaire to a selection of the largest general insurance firms to assess whether they were meeting the expectations it set out in a Dear CEO letter issued in September 2022. The questionnaire was issued to eleven firms…
