UK FCA Consumer Duty (Principle 12 and PRIN 2A)
PRIN 2A.8 to 2A.11: governance and culture, monitoring, redress and product book sales – UK FCA Consumer Duty (Principle 12 and PRIN 2A)

UK FCA Consumer Duty (Principle 12 and PRIN 2A) 2a9-notify-fca: Notify the FCA when the firm becomes aware that another firm in its distribution chain is not or may not be complying with the Duty

What does 2a9-notify-fca require?

A firm that sits in a distribution chain must tell the FCA on becoming aware that a fellow chain firm is failing, or may be failing, to meet the Duty. This sits alongside the firm's own Principle 11 duty to tell the FCA anything it would reasonably expect notice of, including the firm's own Duty breaches.

Maintained by Gerard Blokdyk

Other controls in PRIN 2A.8 to 2A.11: governance and culture, monitoring, redress and product book sales – UK FCA Consumer Duty (Principle 12 and PRIN 2A)

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MCP endpointAll UK FCA Consumer Duty (Principle 12 and PRIN 2A) controls