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New Business Register
Background
The FCA expects firms to have sufficient records detailing its customers/clients services and products.
Compliance Star
- New business registers are automatically generated at pre-determined dates with notifications for completion and checking through to sign off.
- The appointed representative firm enters or uploads via CSV file all new client activity within the given time frames specified with the new business register allowing a central record of all firms activities.
Benefits
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Identification of the AR firms service, products and customer base.
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Comparison and analysis of the AR firms regulated activity and regulatory income.
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Clear and concise reporting of the principals supervision and oversight
