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The
Conduct of Business rule book (ICOB for general
insurance business) is
one of the fundamental rulebooks that applies to
client relationships. It covers advising clients,
dealing with clients and managing investments. This
rulebook never stays silent, and often routine changes
are implemented. One of the
FSA’s objectives is investor protection. They
view breaches in conduct of business rules. We can
also alert you, especially where this impacts on
the protections of the investor. Gem
Compliance can review your existing client compliance
procedures to ensure that they comply with current
conduct of business rules, but also alert you
to any changes of these rules which impact on
your business. We can provide briefing sessions
to your client managers to ensure that they
understand the procedures involved including why
they exist in the first place and what the regulator
is looking for in relation to evidence on client
files.
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