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compliance at sharein
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Understanding our regulator and its expectations
1.1. Our Regulatory Environment
1.2 How the FCA works
1.3. Treating Customers Fairly: The Cornerstone of the FCA Regulatory Approach
1.4 Conduct Risk
1.5 Governance at ShareIn
1.6 Compliance Responsibilities and FCA expectations
Our products, our permitted activities and our clients
2.1 What are 'Investments'?
2.2. What are we permitted to do?
2.3. Who are our clients?
2.4 What information about the firm must we disclose to investors?
Our approved persons and appointed representative network
3.1. What are Approved Persons?
3.2. What is an Appointed Representative?
Our compliance culture and individual accountability
4.1. How do we protect clients from conflicts of interest, and what is your role?
4.2. What are inducements, and what procedures are in place to prevent them?
4.3. What are the restrictions on your personal investing?
4.4. How do we ensure you are competent to discharge your role?
4.5. What are your responsibilities in responding to complaints and breaches?
4.6. What is a "Disclosure in the Public Interest" or Whistleblowing?
Preventing financial crime
5.1. Money Laundering and Financial Crime
Communicating with investors
6.1 Financial promotions and marketing communications
6.2. Social Media and the Internet
6.3 Other sales and marketing activities
Other systems and controls
7.1. Client Data Protection and Business Continuity
7.2. Outsourcing (SYSC 8)
7.4. Professional Indemnity Insurance
7.5. Compliance Monitoring
7.6. Compliance Manual Updates
7.7. Notification of Changes
7.8. FCA Clearances and Notifications
Client money reconciliation and reporting (CASS)
8.1. Client money definition
8.2. CASS Firm Type
8.3. CASS operational oversight
8.4. Segregation of client money
8.5. Due diligence on the banks holding the client money accounts
8.6. Internal procedures
8.7. Acknowledgement of the client money bank accounts
8.8. Segregation Method
8.9. Client Money Reconciliations
8.10 Correction discrepancies arising from the client money reconciliations
8.11 Record-keeping requirements
8.12 Client Agreements
8.13 Client Money and Asset Return
8.14 CASS Resolution Pack
9.1. Application of FCA Remuneration Code
9.2. Staff subject to Remuneration Policy
9.3. Remuneration Principles
9.4. Sales staff