Further guidance and practice notes
Below is a collection of guidance and practice notes, put
together to cover many of the common questions and issues that
arise during the inspection process. Should you have a query
relating to a topic not covered on this or other Financial
compliance pages, please contact a member of the team on 0131 476
8177.
Business Toolkit
Cheques to be held
undelivered
Client accounts - terms of
business
Client communication practice rules
guidance
Client credit balances
guidance
Commission arrangements -
designated client accounts
Conflict of interest
Destruction of
files
Electronic transfer of
funds
Incidental
financial business rules guidance
Interest on invested funds (.pdf)
Standards of
conduct
Trust and company service
providers
Further information on professional practice issues
can be found on the professional practice
FAQs page.