{"id":17177,"date":"2024-02-09T14:41:00","date_gmt":"2024-02-09T14:41:00","guid":{"rendered":"https:\/\/stg-evopublic-testupdates.kinsta.cloud\/public\/?page_id=17177"},"modified":"2026-02-18T13:14:43","modified_gmt":"2026-02-18T13:14:43","slug":"communication-with-the-regulator","status":"publish","type":"page","link":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/","title":{"rendered":"3.11 Communication with the regulator"},"content":{"rendered":"\t\t<div data-elementor-type=\"wp-page\" data-elementor-id=\"17177\" class=\"elementor elementor-17177\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-406750d elementor-section-height-min-height elementor-section-content-middle elementor-section-stretched elementor-hidden-tablet elementor-hidden-mobile elementor-section-boxed elementor-section-height-default elementor-section-items-middle\" data-id=\"406750d\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[{&quot;jet_parallax_layout_image&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;_id&quot;:&quot;49a2fd5&quot;,&quot;jet_parallax_layout_image_tablet&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_image_mobile&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_speed&quot;:{&quot;unit&quot;:&quot;%&quot;,&quot;size&quot;:50,&quot;sizes&quot;:[]},&quot;jet_parallax_layout_type&quot;:&quot;scroll&quot;,&quot;jet_parallax_layout_direction&quot;:&quot;1&quot;,&quot;jet_parallax_layout_fx_direction&quot;:null,&quot;jet_parallax_layout_z_index&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x&quot;:50,&quot;jet_parallax_layout_bg_x_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y&quot;:50,&quot;jet_parallax_layout_bg_y_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size&quot;:&quot;auto&quot;,&quot;jet_parallax_layout_bg_size_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_animation_prop&quot;:&quot;transform&quot;,&quot;jet_parallax_layout_on&quot;:[&quot;desktop&quot;,&quot;tablet&quot;]}],&quot;background_background&quot;:&quot;gradient&quot;,&quot;stretch_section&quot;:&quot;section-stretched&quot;}\">\n\t\t\t\t\t\t\t<div class=\"elementor-background-overlay\"><\/div>\n\t\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-5a5c287\" data-id=\"5a5c287\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-inner-section elementor-element elementor-element-0ff4982 elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"0ff4982\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[{&quot;jet_parallax_layout_image&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;_id&quot;:&quot;be27c89&quot;,&quot;jet_parallax_layout_image_tablet&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_image_mobile&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_speed&quot;:{&quot;unit&quot;:&quot;%&quot;,&quot;size&quot;:50,&quot;sizes&quot;:[]},&quot;jet_parallax_layout_type&quot;:&quot;scroll&quot;,&quot;jet_parallax_layout_direction&quot;:&quot;1&quot;,&quot;jet_parallax_layout_fx_direction&quot;:null,&quot;jet_parallax_layout_z_index&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x&quot;:50,&quot;jet_parallax_layout_bg_x_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y&quot;:50,&quot;jet_parallax_layout_bg_y_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size&quot;:&quot;auto&quot;,&quot;jet_parallax_layout_bg_size_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_animation_prop&quot;:&quot;transform&quot;,&quot;jet_parallax_layout_on&quot;:[&quot;desktop&quot;,&quot;tablet&quot;]}]}\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-50 elementor-inner-column elementor-element elementor-element-750c844\" data-id=\"750c844\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-6cd5c02 elementor-widget elementor-widget-heading\" data-id=\"6cd5c02\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Sales Procedure Guide<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-f750e9d elementor-widget-divider--view-line elementor-widget elementor-widget-divider\" data-id=\"f750e9d\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"divider.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-divider\">\n\t\t\t<span class=\"elementor-divider-separator\">\n\t\t\t\t\t\t<\/span>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-f4b3bad elementor-widget elementor-widget-spacer\" data-id=\"f4b3bad\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"spacer.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-spacer\">\n\t\t\t<div class=\"elementor-spacer-inner\"><\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-fd7fa9f elementor-widget elementor-widget-text-editor\" data-id=\"fd7fa9f\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p><span style=\"color: #ffffff;\">3.11<\/span><span style=\"color: #54b8b1;\">\u00a0\/\/<\/span><span style=\"color: #ffffff;\">\u00a0Communication with the Regulator<\/span><\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t<div class=\"elementor-column elementor-col-50 elementor-inner-column elementor-element elementor-element-da54f9a\" data-id=\"da54f9a\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap\">\n\t\t\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-52eb123 elementor-section-content-middle elementor-section-stretched elementor-hidden-desktop elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"52eb123\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[{&quot;jet_parallax_layout_image&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;_id&quot;:&quot;49a2fd5&quot;,&quot;jet_parallax_layout_image_tablet&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_image_mobile&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_speed&quot;:{&quot;unit&quot;:&quot;%&quot;,&quot;size&quot;:50,&quot;sizes&quot;:[]},&quot;jet_parallax_layout_type&quot;:&quot;scroll&quot;,&quot;jet_parallax_layout_direction&quot;:&quot;1&quot;,&quot;jet_parallax_layout_fx_direction&quot;:null,&quot;jet_parallax_layout_z_index&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x&quot;:50,&quot;jet_parallax_layout_bg_x_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y&quot;:50,&quot;jet_parallax_layout_bg_y_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size&quot;:&quot;auto&quot;,&quot;jet_parallax_layout_bg_size_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_animation_prop&quot;:&quot;transform&quot;,&quot;jet_parallax_layout_on&quot;:[&quot;desktop&quot;,&quot;tablet&quot;]}],&quot;background_background&quot;:&quot;gradient&quot;,&quot;stretch_section&quot;:&quot;section-stretched&quot;}\">\n\t\t\t\t\t\t\t<div class=\"elementor-background-overlay\"><\/div>\n\t\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-905db02\" data-id=\"905db02\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-inner-section elementor-element elementor-element-5b6c2f3 elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"5b6c2f3\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[{&quot;jet_parallax_layout_image&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;_id&quot;:&quot;be27c89&quot;,&quot;jet_parallax_layout_image_tablet&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_image_mobile&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_speed&quot;:{&quot;unit&quot;:&quot;%&quot;,&quot;size&quot;:50,&quot;sizes&quot;:[]},&quot;jet_parallax_layout_type&quot;:&quot;scroll&quot;,&quot;jet_parallax_layout_direction&quot;:&quot;1&quot;,&quot;jet_parallax_layout_fx_direction&quot;:null,&quot;jet_parallax_layout_z_index&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x&quot;:50,&quot;jet_parallax_layout_bg_x_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y&quot;:50,&quot;jet_parallax_layout_bg_y_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size&quot;:&quot;auto&quot;,&quot;jet_parallax_layout_bg_size_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_animation_prop&quot;:&quot;transform&quot;,&quot;jet_parallax_layout_on&quot;:[&quot;desktop&quot;,&quot;tablet&quot;]}]}\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-inner-column elementor-element elementor-element-eccada4\" data-id=\"eccada4\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-988d5c5 elementor-widget elementor-widget-heading\" data-id=\"988d5c5\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Sales Procedure Guide<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-38ad409 elementor-widget-divider--view-line elementor-widget elementor-widget-divider\" data-id=\"38ad409\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"divider.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-divider\">\n\t\t\t<span class=\"elementor-divider-separator\">\n\t\t\t\t\t\t<\/span>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-d762dce elementor-widget elementor-widget-spacer\" data-id=\"d762dce\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"spacer.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-spacer\">\n\t\t\t<div class=\"elementor-spacer-inner\"><\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-016f75d elementor-widget elementor-widget-heading\" data-id=\"016f75d\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h1 class=\"elementor-heading-title elementor-size-default\">3.11 \/\/ Communication with the Regulator<\/h1>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-8c55a1c elementor-section-content-middle elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"8c55a1c\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[{&quot;jet_parallax_layout_image&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;_id&quot;:&quot;57096b4&quot;,&quot;jet_parallax_layout_image_tablet&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_image_mobile&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_speed&quot;:{&quot;unit&quot;:&quot;%&quot;,&quot;size&quot;:50,&quot;sizes&quot;:[]},&quot;jet_parallax_layout_type&quot;:&quot;scroll&quot;,&quot;jet_parallax_layout_direction&quot;:&quot;1&quot;,&quot;jet_parallax_layout_fx_direction&quot;:null,&quot;jet_parallax_layout_z_index&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x&quot;:50,&quot;jet_parallax_layout_bg_x_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y&quot;:50,&quot;jet_parallax_layout_bg_y_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size&quot;:&quot;auto&quot;,&quot;jet_parallax_layout_bg_size_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_animation_prop&quot;:&quot;transform&quot;,&quot;jet_parallax_layout_on&quot;:[&quot;desktop&quot;,&quot;tablet&quot;]}]}\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-wide\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-33 elementor-top-column elementor-element elementor-element-cbd0eed\" data-id=\"cbd0eed\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-4d51881 elementor-mobile-align-flex-start elementor-align-left elementor-widget elementor-widget-raven-breadcrumbs\" data-id=\"4d51881\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"raven-breadcrumbs.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<div class=\"raven-breadcrumbs raven-breadcrumbs-default\"><div class=\"breadcrumb\">\t\t\t\t<div class=\"breadcrumb-item active\" aria-current=\"page\"><span>Home<\/span><\/div>\n\n\t\t\t\t<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-f145fae elementor-widget elementor-widget-heading\" data-id=\"f145fae\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Communication with the Regulator<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-0f51308 elementor-widget-divider--view-line elementor-widget elementor-widget-divider\" data-id=\"0f51308\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"divider.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-divider\">\n\t\t\t<span class=\"elementor-divider-separator\">\n\t\t\t\t\t\t<\/span>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-2406975 elementor-widget elementor-widget-text-editor\" data-id=\"2406975\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>The FCA\u2019s Principle 11 states that:<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-7e34943 elementor-widget elementor-widget-spacer\" data-id=\"7e34943\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"spacer.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-spacer\">\n\t\t\t<div class=\"elementor-spacer-inner\"><\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-9a4a4ed elementor-widget elementor-widget-text-editor\" data-id=\"9a4a4ed\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p><em>\u201cA <a href=\"https:\/\/www.handbook.fca.org.uk\/handbook\/glossary\/G430.html\" target=\"_blank\" rel=\"noopener\">firm<\/a> must deal with its regulators in an open and cooperative way, and must disclose to the FCA appropriately anything relating to the firm of which that regulator would reasonably expect notice.\u201d\u200b<\/em><\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-7811b0f elementor-widget elementor-widget-spacer\" data-id=\"7811b0f\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"spacer.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-spacer\">\n\t\t\t<div class=\"elementor-spacer-inner\"><\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-47a7f09 elementor-widget elementor-widget-text-editor\" data-id=\"47a7f09\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>We expect our dealer to abide by this, including:<\/p><ul><li>Submitting all required regulatory returns accurately and by the FCA deadlines.<\/li><li>Ensuring standing data is up to date (there is now an annual requirement for firms to do this).<\/li><\/ul>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-805b8f9 elementor-align-left elementor-mobile-align-center elementor-widget elementor-widget-button\" data-id=\"805b8f9\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"button.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<div class=\"elementor-button-wrapper\">\n\t\t\t\t\t<a class=\"elementor-button elementor-button-link elementor-size-sm\" href=\"https:\/\/www.fca.org.uk\/firms\/firm-details\" target=\"_blank\">\n\t\t\t\t\t\t<span class=\"elementor-button-content-wrapper\">\n\t\t\t\t\t\t<span class=\"elementor-button-icon\">\n\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-arrow-right\"><\/i>\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t<span class=\"elementor-button-text\">Keeping your firm's details up to date | FCA<\/span>\n\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-2c77fab elementor-widget elementor-widget-text-editor\" data-id=\"2c77fab\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<ul><li>Notifying the regulator (and Evolution) of any changes to your business. This includes, for example, changing to a limited company, a change of owners or directors, changes to the activities you undertake, general address changes, etc.<\/li><li>Meeting all FCA requirements daily, including ensuring financial promotions meet CONC rules.<\/li><\/ul>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t<div class=\"elementor-column elementor-col-33 elementor-top-column elementor-element elementor-element-842deb3\" data-id=\"842deb3\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap\">\n\t\t\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t<div class=\"elementor-column elementor-col-33 elementor-top-column elementor-element elementor-element-2f22b0c elementor-hidden-phone\" data-id=\"2f22b0c\" data-element_type=\"column\" data-e-type=\"column\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-3b20b2d elementor-widget elementor-widget-sidebar\" data-id=\"3b20b2d\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"sidebar.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<div id=\"block-4\" class=\"jupiterx-widget widget_block block-4 widget_block\"><div class=\"jupiterx-widget-content\"><span style=\"font-size: 24px; font-weight:300;margin-bottom:20px;\">Sales Procedure Guide<\/span>\n\n<hr \/><\/div><\/div><div id=\"nav_menu-8\" class=\"jupiterx-widget widget_nav_menu nav_menu-8 widget_nav_menu\"><div class=\"jupiterx-widget-content\"><style >.jupiterx-widget-nav-menu-vertical > .menu-item{margin-bottom:0px}<\/style><div class=\"menu-sales-procedure-guide-part-two-container\"><ul id=\"menu-sales-procedure-guide-part-two\" class=\"jupiterx-widget-nav-menu-vertical\"><li id=\"menu-item-17199\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17199\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/\">Home<\/a><\/li>\n<li id=\"menu-item-17202\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17202\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/dealer-sales-procedures\/\">3.0 Dealer Sales Procedures<\/a><\/li>\n<li id=\"menu-item-17201\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17201\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/disclosures\/\">3.1 Disclosures<\/a><\/li>\n<li id=\"menu-item-17210\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17210\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/financial-promotions\/\">3.2 Financial Promotions<\/a><\/li>\n<li id=\"menu-item-17211\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17211\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/consumer-duty\/\">3.3 Consumer Duty<\/a><\/li>\n<li id=\"menu-item-17208\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17208\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/affordability\/\">3.4 Affordability<\/a><\/li>\n<li id=\"menu-item-17207\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17207\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/vulnerable-customers\/\">3.5 Vulnerable Customers<\/a><\/li>\n<li id=\"menu-item-17206\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17206\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/anti-money-laundering-and-fraud-prevention\/\">3.6 Anti-Money Laundering and Fraud Prevention<\/a><\/li>\n<li id=\"menu-item-17205\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17205\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/complaints\/\">3.7 Complaints<\/a><\/li>\n<li id=\"menu-item-17204\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17204\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/data-protection\/\">3.8 Data Protection<\/a><\/li>\n<li id=\"menu-item-17203\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17203\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/training\/\">3.9 Training<\/a><\/li>\n<li id=\"menu-item-17200\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17200\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/smcr-framework\/\">3.10 SMCR Framework<\/a><\/li>\n<li id=\"menu-item-17209\" class=\"menu-item menu-item-type-post_type menu-item-object-page menu-item-17209\"><a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/\">3.11 Communication with the Regulator<\/a><\/li>\n<\/ul><\/div><\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-5613f38 elementor-section-height-min-height elementor-section-boxed elementor-section-height-default elementor-section-items-middle\" data-id=\"5613f38\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[{&quot;jet_parallax_layout_image&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;_id&quot;:&quot;ffc915a&quot;,&quot;jet_parallax_layout_image_tablet&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_image_mobile&quot;:{&quot;url&quot;:&quot;&quot;,&quot;id&quot;:&quot;&quot;,&quot;size&quot;:&quot;&quot;},&quot;jet_parallax_layout_speed&quot;:{&quot;unit&quot;:&quot;%&quot;,&quot;size&quot;:50,&quot;sizes&quot;:[]},&quot;jet_parallax_layout_type&quot;:&quot;scroll&quot;,&quot;jet_parallax_layout_direction&quot;:&quot;1&quot;,&quot;jet_parallax_layout_fx_direction&quot;:null,&quot;jet_parallax_layout_z_index&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x&quot;:50,&quot;jet_parallax_layout_bg_x_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_x_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y&quot;:50,&quot;jet_parallax_layout_bg_y_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_y_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size&quot;:&quot;auto&quot;,&quot;jet_parallax_layout_bg_size_tablet&quot;:&quot;&quot;,&quot;jet_parallax_layout_bg_size_mobile&quot;:&quot;&quot;,&quot;jet_parallax_layout_animation_prop&quot;:&quot;transform&quot;,&quot;jet_parallax_layout_on&quot;:[&quot;desktop&quot;,&quot;tablet&quot;]}],&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t\t\t\t<div class=\"elementor-background-overlay\"><\/div>\n\t\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-8ecc6e8\" data-id=\"8ecc6e8\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-71a6c87 elementor-widget elementor-widget-heading\" data-id=\"71a6c87\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Significant Issues<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-c6c944b elementor-widget-divider--view-line elementor-widget elementor-widget-divider\" data-id=\"c6c944b\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"divider.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-divider\">\n\t\t\t<span class=\"elementor-divider-separator\">\n\t\t\t\t\t\t<\/span>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-297be43 elementor-widget elementor-widget-text-editor\" data-id=\"297be43\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>Firms should notify the FCA of any issues they become aware of using the regulator&#8217;s standard SUP 15 notification form:<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<section class=\"elementor-section elementor-inner-section elementor-element elementor-element-dc1aa5c elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"dc1aa5c\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[]}\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-50 elementor-inner-column elementor-element elementor-element-dcea89d\" data-id=\"dcea89d\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-b1dcfc6 elementor-align-left elementor-mobile-align-center elementor-widget elementor-widget-button\" data-id=\"b1dcfc6\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"button.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<div class=\"elementor-button-wrapper\">\n\t\t\t\t\t<a class=\"elementor-button elementor-button-link elementor-size-sm\" href=\"https:\/\/www.handbook.fca.org.uk\/handbook\/SUP\/15\/3.html\" target=\"_blank\">\n\t\t\t\t\t\t<span class=\"elementor-button-content-wrapper\">\n\t\t\t\t\t\t<span class=\"elementor-button-icon\">\n\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-arrow-right\"><\/i>\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t<span class=\"elementor-button-text\">SUP 15.3 General notification requirements | FCA<\/span>\n\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t<div class=\"elementor-column elementor-col-50 elementor-inner-column elementor-element elementor-element-d903351\" data-id=\"d903351\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-2c80295 elementor-align-left elementor-mobile-align-center elementor-widget elementor-widget-button\" data-id=\"2c80295\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"button.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<div class=\"elementor-button-wrapper\">\n\t\t\t\t\t<a class=\"elementor-button elementor-button-link elementor-size-sm\" href=\"https:\/\/www.fca.org.uk\/firm-notification-form-sup-15\" target=\"_blank\">\n\t\t\t\t\t\t<span class=\"elementor-button-content-wrapper\">\n\t\t\t\t\t\t<span class=\"elementor-button-icon\">\n\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-arrow-right\"><\/i>\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t<span class=\"elementor-button-text\">SUP 15 Notification Form<\/span>\n\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<div class=\"elementor-element elementor-element-0988b4e elementor-widget elementor-widget-text-editor\" data-id=\"0988b4e\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>Evolution will monitor your details on an ongoing basis, including Companies House and the FCA register, to ensure we are up-to-date with any changes you have not made us aware of.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-d8eb419 elementor-widget elementor-widget-spacer\" data-id=\"d8eb419\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"spacer.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-spacer\">\n\t\t\t<div class=\"elementor-spacer-inner\"><\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<section class=\"elementor-section elementor-inner-section elementor-element elementor-element-f9a75ae elementor-section-boxed elementor-section-height-default elementor-section-height-default elementor-invisible\" data-id=\"f9a75ae\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;jet_parallax_layout_list&quot;:[],&quot;background_background&quot;:&quot;gradient&quot;,&quot;animation&quot;:&quot;fadeInUp&quot;}\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-inner-column elementor-element elementor-element-b0ce8f5\" data-id=\"b0ce8f5\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-f24ca77 elementor-widget elementor-widget-heading\" data-id=\"f24ca77\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h3 class=\"elementor-heading-title elementor-size-default\">Thank you, and if you require further information, please contact your Account Manager.<\/h3>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"<p>Sales Procedure Guide 3.11\u00a0\/\/\u00a0Communication with the Regulator Sales Procedure Guide 3.11 \/\/ Communication with the Regulator Home Communication with the Regulator The FCA\u2019s Principle 11 states that: \u201cA firm must deal with its regulators in an open and cooperative way, and must disclose to the FCA appropriately anything relating to the firm of which that [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":9475,"parent":15880,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"elementor_header_footer","meta":{"_acf_changed":false,"footnotes":""},"class_list":["post-17177","page","type-page","status-publish","has-post-thumbnail","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>3.11 Communication with the regulator - Evolution Funding<\/title>\n<meta name=\"robots\" content=\"noindex, nofollow\" \/>\n<meta property=\"og:locale\" content=\"en_GB\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"3.11 Communication with the regulator - Evolution Funding\" \/>\n<meta property=\"og:description\" content=\"Sales Procedure Guide 3.11\u00a0\/\/\u00a0Communication with the Regulator Sales Procedure Guide 3.11 \/\/ Communication with the Regulator Home Communication with the Regulator The FCA\u2019s Principle 11 states that: \u201cA firm must deal with its regulators in an open and cooperative way, and must disclose to the FCA appropriately anything relating to the firm of which that [&hellip;]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/\" \/>\n<meta property=\"og:site_name\" content=\"Evolution Funding\" \/>\n<meta property=\"article:modified_time\" content=\"2026-02-18T13:14:43+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png\" \/>\n\t<meta property=\"og:image:width\" content=\"895\" \/>\n\t<meta property=\"og:image:height\" content=\"895\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Estimated reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"2 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/\",\"url\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/\",\"name\":\"3.11 Communication with the regulator - Evolution Funding\",\"isPartOf\":{\"@id\":\"https:\/\/www.evolutionfunding.com\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png\",\"datePublished\":\"2024-02-09T14:41:00+00:00\",\"dateModified\":\"2026-02-18T13:14:43+00:00\",\"breadcrumb\":{\"@id\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#breadcrumb\"},\"inLanguage\":\"en-GB\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-GB\",\"@id\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#primaryimage\",\"url\":\"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png\",\"contentUrl\":\"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png\",\"width\":895,\"height\":895},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/www.evolutionfunding.com\/public\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Sales Procedure Guide\",\"item\":\"https:\/\/www.evolutionfunding.comsales-procedure-guide\/\"},{\"@type\":\"ListItem\",\"position\":3,\"name\":\"3.11 Communication with the regulator\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.evolutionfunding.com\/#website\",\"url\":\"https:\/\/www.evolutionfunding.com\/\",\"name\":\"Evolution Funding\",\"description\":\"The UK&#039;s largest motor finance broker and technology provider\",\"publisher\":{\"@id\":\"https:\/\/www.evolutionfunding.com\/#organization\"},\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/www.evolutionfunding.com\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-GB\"},{\"@type\":\"Organization\",\"@id\":\"https:\/\/www.evolutionfunding.com\/#organization\",\"name\":\"Evolution Funding\",\"url\":\"https:\/\/www.evolutionfunding.com\/\",\"logo\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-GB\",\"@id\":\"https:\/\/www.evolutionfunding.com\/#\/schema\/logo\/image\/\",\"url\":\"https:\/\/stg-evopublic-testupdates.kinsta.cloud\/public\/wp-content\/uploads\/2019\/04\/EVF-logo_1@2x.png\",\"contentUrl\":\"https:\/\/stg-evopublic-testupdates.kinsta.cloud\/public\/wp-content\/uploads\/2019\/04\/EVF-logo_1@2x.png\",\"width\":387,\"height\":95,\"caption\":\"Evolution Funding\"},\"image\":{\"@id\":\"https:\/\/www.evolutionfunding.com\/#\/schema\/logo\/image\/\"}}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"3.11 Communication with the regulator - Evolution Funding","robots":{"index":"noindex","follow":"nofollow"},"og_locale":"en_GB","og_type":"article","og_title":"3.11 Communication with the regulator - Evolution Funding","og_description":"Sales Procedure Guide 3.11\u00a0\/\/\u00a0Communication with the Regulator Sales Procedure Guide 3.11 \/\/ Communication with the Regulator Home Communication with the Regulator The FCA\u2019s Principle 11 states that: \u201cA firm must deal with its regulators in an open and cooperative way, and must disclose to the FCA appropriately anything relating to the firm of which that [&hellip;]","og_url":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/","og_site_name":"Evolution Funding","article_modified_time":"2026-02-18T13:14:43+00:00","og_image":[{"width":895,"height":895,"url":"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png","type":"image\/png"}],"twitter_card":"summary_large_image","twitter_misc":{"Estimated reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/","url":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/","name":"3.11 Communication with the regulator - Evolution Funding","isPartOf":{"@id":"https:\/\/www.evolutionfunding.com\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#primaryimage"},"image":{"@id":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#primaryimage"},"thumbnailUrl":"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png","datePublished":"2024-02-09T14:41:00+00:00","dateModified":"2026-02-18T13:14:43+00:00","breadcrumb":{"@id":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#breadcrumb"},"inLanguage":"en-GB","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/"]}]},{"@type":"ImageObject","inLanguage":"en-GB","@id":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#primaryimage","url":"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png","contentUrl":"https:\/\/www.evolutionfunding.com\/public\/wp-content\/uploads\/2022\/07\/Meta-Generic-EVF.png","width":895,"height":895},{"@type":"BreadcrumbList","@id":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.evolutionfunding.com\/public\/"},{"@type":"ListItem","position":2,"name":"Sales Procedure Guide","item":"https:\/\/www.evolutionfunding.comsales-procedure-guide\/"},{"@type":"ListItem","position":3,"name":"3.11 Communication with the regulator"}]},{"@type":"WebSite","@id":"https:\/\/www.evolutionfunding.com\/#website","url":"https:\/\/www.evolutionfunding.com\/","name":"Evolution Funding","description":"The UK&#039;s largest motor finance broker and technology provider","publisher":{"@id":"https:\/\/www.evolutionfunding.com\/#organization"},"potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.evolutionfunding.com\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-GB"},{"@type":"Organization","@id":"https:\/\/www.evolutionfunding.com\/#organization","name":"Evolution Funding","url":"https:\/\/www.evolutionfunding.com\/","logo":{"@type":"ImageObject","inLanguage":"en-GB","@id":"https:\/\/www.evolutionfunding.com\/#\/schema\/logo\/image\/","url":"https:\/\/stg-evopublic-testupdates.kinsta.cloud\/public\/wp-content\/uploads\/2019\/04\/EVF-logo_1@2x.png","contentUrl":"https:\/\/stg-evopublic-testupdates.kinsta.cloud\/public\/wp-content\/uploads\/2019\/04\/EVF-logo_1@2x.png","width":387,"height":95,"caption":"Evolution Funding"},"image":{"@id":"https:\/\/www.evolutionfunding.com\/#\/schema\/logo\/image\/"}}]}},"_links":{"self":[{"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/pages\/17177","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/comments?post=17177"}],"version-history":[{"count":50,"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/pages\/17177\/revisions"}],"predecessor-version":[{"id":18799,"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/pages\/17177\/revisions\/18799"}],"up":[{"embeddable":true,"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/pages\/15880"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/media\/9475"}],"wp:attachment":[{"href":"https:\/\/www.evolutionfunding.com\/public\/wp-json\/wp\/v2\/media?parent=17177"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}