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The Financial Conduct Authority (FCA) has published a new regulatory guide for credit brokers, aimed primarily at smaller firms to help them understand and apply regulatory requirements in a proportionate way.
The guide covers a range of areas including customer communications, complaints handling, governance, staff responsibilities, financial promotions and the use of appointed representatives. It also includes examples of good practice and signposts to relevant FCA rules and publications.
The FCA has stated that the guide is intended to support firms in navigating regulatory expectations alongside the FCA Handbook and other existing requirements.
Members can access the full guide via the FCA website: Regulatory guide for credit brokers | FCA.
