Document library
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8, December 2003
Contents: Extending the Part XX regime for exempt professional firms carrying on insurance mediation and mortgage activities\; Anti-money laundering requirements for licensed firms\; Pension transfers from occupational pension schemes in wind-up\; ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - FSA flyer, December 2003
Attachment to DPB Compliance Bulletin 8. FSA flyer advertising the application pack for persons applying for authorisation to carry out mortgage and general insurance business You can apply for a mortgage and general insurance authorisation Application ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - training, December 2003
Training and competence and conduct of business in authorised professional firms. Letter from the FSA dated 28 November 2003 Page 1 of 5 Direct line: 020 7066 5260 Local fax: 020 7066 9765 Email: chris.rexworthy@fsa.gov.uk 28 ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - pension transfers, December 2003
Pension transfers from occupational pension schemes in wind-up. Letter from the FSA, dated 11 November 2003 Direct line: 0207 066 5260 Local fax: 0207 066 5261 Email: chris.rexworthy@fsa.gov.uk ADDRESS November 2003 Our Ref: ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 7, September 2003
Contents: Extending the Part XX regime for exempt professional firms carrying on insurance mediation and mortgage activities. Keywords: CP187, regulatory status, Insurance Mediation Directive INSTITUTE OF ACTUARIES Maclaurin House 18 ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 7 - FSA note, September 2003
Extending the Part XX regime for exempt professional firms carrying on insurance mediation and mortgage activities. Note from the FSA FSA Newsletter, July 2003 Extending the Part XX regime for exempt professional firms carrying on insurance mediation ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 6, June 2003
Contents: Change to corporate or legal status of authorised professional firms post N2\; DPB Seminar, 4 April 2003\; on-line Compliance Bulletins\; On-line DPB handbook\; DPB register for exempt professional firms (EPFs) INSTITUTE OF ACTUARIES Maclaurin ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 6 - FSA note, June 2003
Changes to the corporate or legal status of authorised professional firms post N2. Note and covering letter from the FSA Direct line: 020 7676 1594 Local fax: Email: sam.tymms@fsa.gov.uk Ms N Will Secretary to DPB Committee Institute of Actuaries Staple ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 5, January 2003
Contents: Anti-money laundering requirements for DPB licensed firms\; introductions by exempt professional firms INSTITUTE OF ACTUARIES Maclaurin House 18 Dublin Street Edinburgh EH1 3PP DPB COMPLIANCE BULLETIN NO. 5 (January ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 5, January 2003
Note on anti-money laundering requirements for DPB firms Anti – Money Laundering Requirements for DPB Firms Does the law on Money Laundering apply to DPB firms? Yes. It applies to all businesses and their employees in the UK, whatever sector they ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 5 - FSA note, January 2003
Commission paid by IFAs to non-authorised introducer firms. Note and covering letter from FSA Direct line: 020 7676 5954 Local fax: 020 7676 9714 Email: richard.lawes@fsa.gov.uk Designated Professional Bodies 18 November 2002 Our Ref: ... read more >>