Compliance Breach Reporting Register
Compliance Breach Reporting Register
You should record and notify the FCA if a breach has occurred or if you have information that reasonably suggests a breach may occur and have a significant adverse effect on your company’s reputation or be of serious detriment to a client.

You must notify the FCA immediately of any such potential or actual breach, and regularly review the reporting document to aid you to meet the FCA’s requirements.

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