Common use of Compliance Regulation Clause in Contracts

Compliance Regulation. We comply with all regulatory requirements applicable made under the Financial Services and Markets Act (FSMA), or of the regulations of the Intermediary’s country of domicile, include treating clients fairly, having appropriate systems in place which reflect the nature, scale and complexity of its business and conducting its business with due skill, care and diligence. Professional Indemnity Insurance We maintain in force appropriate Professional Indemnity Insurance as required by the FCA in each claim in respect of liabilities arising as a result of their respective involvements with the Companies policies.