Part

Using the FSA Handbook: an Overview for small IFA firms

Chapter

Further information

Printed on: 31/10/2024

Rulebook at: 30/08/2006

SIFA 19

Further information

SIFA 19.1

FSA contacts

  • 01/12/2004

a) Handbook and publications

SIFA 19.1.1

handbook-guidance
Printed copies of publications and Handbook subscriptions and amendments are available from The Stationery Office Online at www.tso.co.uk/bookshop or from the helpline number 0845 608 2372.
Technical queries on the CD-ROM: fsa@techindex.co.uk or 0134 440 4457.
Other comments on the CD-ROM contents: cdhelp@fsa.gov.uk
  • 09/09/2005

b) FSA website: www.fsa.gov.uk

SIFA 19.1.2

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Our website is an essential resource for firms and provides fully updated information and help. For example, clicking on 'Doing business with the FSA', gives you access to 'Information for small firms'. This dedicated section contains information specifically relevant to smaller investment intermediaries. The site includes information on topics about which the Firms Contact Centre frequently receives questions from firms.
  • 09/09/2005

SIFA 19.1.3

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Our website also gives access to electronic reporting via Firms Online.
  • 09/09/2005

SIFA 19.1.4

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You will find the FSA Register on the website. The Register lists the permission of every FSA-authorised firm, their appointed representatives and the controlled functions allocated to every approved person.
  • 09/09/2005

c) FSA Industry Training Courses, FSA Events and Conferences

SIFA 19.1.5

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FSA Industry Training: see our website for further details of an extensive range of workshops: www.fsa.gov.uk/Pages/Doing/Events/index.shtml or telephone 020 7066 0752. Under Distance Learning we offer CDs on MCOB, ICOB, Training & Competence, Effective Complaints Handling and Introduction to the FSA which may be of interest to small firms.
FSA Events and Conferences: Some information is on our website (listed above). Alternatively, contact the FSA Events team by phone on 020 7066 0098, by fax on 020 7676 0063 or email at events@fsa.gov.uk.
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d) FSA Authorisation and Approved Persons

SIFA 19.1.6

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If your firm is considering whether to apply for FSA authorisation for the first time or whether to modify its existing authorisation, you should refer to the guidance on our website. You can also contact the Authorisation & Approvals Helpline by telephone 020 7066 3954 or by email corporate.authorisation@fsa.gov.uk.
You can download the Application Pack and Guidance notes from our website free of charge (www.fsa.gov.uk/Pages/Doing/How/index.shtml) or you can order a printed copy from our Publications Helpline 0845 0608 2372 (at a charge).
On our website you will find application packs tailored for specific types of firms/situations i.e. for applications from small firms, sole traders and currently authorised firms wishing to make a simple change to their legal entity status.
  • 09/09/2005

SIFA 19.1.7

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For queries about approved persons contact the Enquiries and Applications Department by email: iva@fsa.gov.uk or telephone the help line 020 7066 0019.
  • 09/09/2005

e) FSA Register

SIFA 19.1.8

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The FSA Register is a public record of financial services firms, individuals and other bodies which fall under the FSA's regulatory jurisdiction. It includes information from 1 December 2001 when FSMA came into force. The FSA Register is provided online from our website to enable firms and consumers to conduct ad hoc searches for firms and individuals.
  • 09/09/2005

f) FSA fees

SIFA 19.1.9

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For invoice calculation, tariff data and payment queries including moving to direct debit, contact the Fees Helpline by email: fsafees@fsa.gov.uk or telephone 020 7066 1888. You can also write to The Revenue Department, Finance & Business Planning at the FSA. There is also information on our website.
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g) The Firms Contact Centre

SIFA 19.1.10

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The Firms Contact Centre provides a helpline for firms that do not have a relationship manager. This is where you should direct queries on issues that are more complicated or where you cannot find the information you need from our website. You can reach the Contact Centre as follows:
•by email at fcc@fsa.gov.uk;•by telephone 0845 606 9966 (local rate). Lines are open between 9.00am and 5.00pm Monday to Thursday and 10.30am to 5.00pm on Friday;•by letter to Firms Contact Centre, The Financial Services Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS; or•by fax 020 7066 0991.
  • 09/09/2005

h) Forms

SIFA 19.1.11

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Several forms are mentioned in this publication. Forms are available to be downloaded from our website, can be completed on Firms Online in many cases, or may be found in the Handbook section of the CD-ROM under Forms.
  • 09/09/2005

i) Firms Online

SIFA 19.1.12

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Firms Online is a new system that is available to authorised firms through our website. You can log onto the system and use it to:
•view your 'firm profile' i.e. a summary of information such as standing data, regulated activities and approved persons;•access various electronic forms; and•(from July 2005) submit regulatory returns.

You can access Firms Online at:
www.fsa.gov.uk/pages/doing/regulated/firms/index.shtml
Further information about how to register for Firms Online is available on our website:
www.fsa.gov.uk/pubs/other/IRR_factsheet.pdf
  • 09/09/2005

j) Financial Promotions Hotline

SIFA 19.1.13

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As a regulated firm, you can help us to investigate misleading advertisements. If you see an advertisement that you feel is unfair, unclear or misleading, please tell us so that we may take action. You can report an advertisement in two ways:
•call our dedicated Hotline on 08457 300 168; or•fill in our reporting form located on our website. The form may be completed online or printed and posted to us.
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k) Complaints against the FSA

SIFA 19.1.14

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If you wish to make a complaint against the FSA you may do so by phone on 020 7066 9870 or by email to complaints@fsa.gov.uk
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l) FSA switchboard

SIFA 19.1.15

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Whilst every effort has been made to ensure that the telephone numbers and links within The Guide are correct, they are subject to change. If you are unable to find the number you need, please call our Switchboard on 020 7066 1000.
  • 09/09/2005

m) FSA service standards

SIFA 19.1.16

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The Performance Account provides information about our service standards and performance and adds to the information in our Annual Report. It may be found on our website in 'FSA Library' and then 'Corporate documents'.
  • 09/09/2005

Other Contacts: Financial Ombudsman Service (FOS)

SIFA 19.1.17

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For queries about payment and accounts for the FOS annual levy, contact the FOS by email: levy@financial-ombudsman.org.uk or telephone 020 7964 1222.
  • 09/09/2005

SIFA 19.1.18

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For informal advice and guidance on ombudsman procedures, policy and decisions - contact the technical advice desk by email: technical.advice@financial-ombudsman.org.uk or telephone 020 7964 1400.
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Financial Services Compensation Scheme (FSCS)

SIFA 19.1.19

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Contact by email: enquiries@fscs.org.uk or telephone 020 7892 7300.
  • 09/09/2005

Joint Money Laundering Steering Group (JMLSG)

SIFA 19.1.20

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The JMLSG website www.jmlsg.org.uk explains where you can get the JMLSG Guidance Notes. AIFA is a member of the Steering Group.
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The Financial Services Skills Council (FSSC)

SIFA 19.1.21

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The Financial Services Skills Council maintains a list of appropriate examinations. The FSSC web site is www.fssc.org.uk and the list of examinations is at:
www.fssc.org.uk/cgi-bin/go.pl/exams/index.html.
Alternatively you can contact the FSSC by telephone on 020 7216 7366.
  • 09/09/2005