Fca rules retail client thank

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By providing us with your information, you consent to the collection, international transfer, storage, and processing of your information. This Terms of Business Agreement constitutes both your acceptance that we may do this and your prior request for us so to do. We may use legal public sources such as the electoral roll and other third party sources such as credit reference agencies to obtain information about you, for example to verify your identity or check your credit history. It is strongly recommended that the appropriate Professional e. You have now reached your trial delivery limit. We will keep your information for as long as it is required to enable us to provide quotations, administer your insurances, offer renewal and respond to any claims or complaints which may arise after the period of insurance has expired.

  • COBS Retail clients FCA Handbook
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  • Retail Customer Terms of Business Agreement — Chapman & Stacey Underwriting Agency

  • If a firm provides services relating to a CTF (except for a personal recommendation relating to a contribution to a CTF), the firm's client is a retail. products or to credit-related regulated activities) in accordance with COBS 1 R, a client who is neither a professional client or an eligible counterparty; or. ATC is required by the rules and guidance of the Financial Conduct Authority ( FCA Rules and the FCA) to categorise each of our clients as: a Retail Client.
    If we are not acting as an agent of the insurer when we receive your premium, we shall hold it as client money in trust for you within a client bank account with an approved bank.

    The FCA will conduct research and stakeholder eng All authorised firms are subject to a suitability obligation which means that they have to take reasonable steps to ensure that advice given through personal recommendations or decisions to trade are suitable for their clients.

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    Where you have provided your specific consent to the use of personal data, you may withdraw that consent by contacting us:. We may transfer your premiums to the insurer through another party, such as a broker or underwriting agent for the purposes of effecting a transaction.

    COBS Retail clients FCA Handbook

    images fca rules retail client thank
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    All authorised firms are subject to a suitability obligation which means that they have to take reasonable steps to ensure that advice given through personal recommendations or decisions to trade are suitable for their clients.

    We may use legal public sources such as the electoral roll and other third party sources such as credit reference agencies to obtain information about you, for example to verify your identity or check your credit history. These Terms of Business shall be governed by and construed in accordance with English Law and shall be subject to the exclusive jurisdiction of the courts of England and Wales. You should contact us or the insurer direct as soon as you become aware of any incident which could give rise to a claim.

    Conflicts of interest As insurance brokers we generally act as your agent in advising you, arranging your insurance and assisting you in the event of a claim. An email address must include at least one letter or number before and after the 'at' sign and must end in co.

    This Practice Note explains the Financial Conduct Authority's (FCA) rules on of such clients as retail clients, professional clients or eligible counterparties.

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    (which explains what retail clients and eligible counterparties are under the FCA rules) and FCA professional clients (which contains an explanation of what a. The scope of Castellain's FCA authorisation allows Castellain to deal only with certain (which are termed “retail clients” for the purposes of the FCA's rules).
    We may collect, use and store sensitive personal information such as criminal convictions and medical conditions as necessary in relation to insurances such as motor, home, travel and health insurance.

    Block transfers In respect of some classes of insurance we may operate block insurance arrangements in order to provide competitive terms.

    images fca rules retail client thank

    In addition, we may charge an amount which reflects the administrative costs of arranging and cancelling the policy. The insurers we use are regulated and are required to have adequate capital resources.

    FCA investment conduct of business Conduct requirements Financial

    These transfers are governed by European Union EU standard contractual clauses or equivalent data transfer agreements to protect the security and confidentiality of personal information.

    We collect personal information such as name, contact details, date of birth, gender, marital status, financial details, employment details and other personal details depending on the nature of the insurance and other services we offer.

    images fca rules retail client thank
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    The use of your data is essential for us to check your identity, to enable you to enter into an insurance contract and for the insurance to operate in the event of a claim, for example.

    Your consent will be obtained specifically at the appropriate time. The FCA will conduct research and stakeholder eng We collect personal information such as name, contact details, date of birth, gender, marital status, financial details, employment details and other personal details depending on the nature of the insurance and other services we offer.

    Retail Customer Terms of Business Agreement — Chapman & Stacey Underwriting Agency

    We will provide a summary of our complaints handling procedures should you make a complaint which we cannot resolve informally and at any other time, upon your request. You may be entitled to refer the matter subsequently to the Financial Ombudsman Service. Please refer to your policy summary or your policy document if you need to notify a claim.

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    1. The use of your data is essential for us to check your identity, to enable you to enter into an insurance contract and for the insurance to operate in the event of a claim, for example.