The services which a person is authorised to provide are called authorisations.  The nature and extent of the authorities granted may be different depending...

As well as being a specific licence obligation, having robust processes and systems for dealing with complaints and disputes is an essential part of good bu...

A conflict of interest occurs where some or all of the interests of a client are inconsistent with, or diverge from the interests of a Licensee or its repre...

Please note as of the 1st June if you have completed any CPD in the Learning Hub you do not need to complete a CPD Notification Form in CCX360.  The CPD tra...

With breach reporting requirements, it is vital that breaches are identified and dealt with promptly. This form establishes a uniform system for recordi...

Licensees are required to monitor and supervise the activities of those who provide financial services under their Licence and to ensure they comply with th...

This form should be completed if you become aware of an incident which has occurred that may lead to a possible professional indemnity claim being made agai...

This form should be completed if you become aware of a significant dealing.  A significant dealing is a dealing to your customers outside of the Target Mark...