{"id":30135,"date":"2026-05-06T16:24:54","date_gmt":"2026-05-06T16:24:54","guid":{"rendered":"https:\/\/www.evolutionfunding.com\/public\/?page_id=30135"},"modified":"2026-05-07T09:22:53","modified_gmt":"2026-05-07T09:22:53","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=\"30135\" class=\"elementor elementor-30135\">\n\t\t\t\t<div class=\"elementor-element elementor-element-095dedd e-flex e-con-boxed e-con e-parent\" data-id=\"095dedd\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t<div class=\"elementor-element elementor-element-0b061aa e-con-full e-flex e-con e-child\" data-id=\"0b061aa\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t<div class=\"elementor-element elementor-element-67a7074 elementor-widget elementor-widget-heading\" data-id=\"67a7074\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t\t<h1 class=\"elementor-heading-title elementor-size-default\">Communication with the Regulator<\/h1>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-680f3fe e-con-full e-flex e-con e-child\" data-id=\"680f3fe\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-68cbac5 e-flex e-con-boxed e-con e-parent\" data-id=\"68cbac5\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t<div class=\"elementor-element elementor-element-553fdab e-con-full e-flex e-con e-child\" data-id=\"553fdab\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-4d61d64 elementor-widget elementor-widget-text-editor\" data-id=\"4d61d64\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\tThe FCA\u2019s Principle 11 states that:\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-9dae349 elementor-widget elementor-widget-text-editor\" data-id=\"9dae349\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t\u201cA\u00a0<a href=\"https:\/\/www.handbook.fca.org.uk\/handbook\/glossary\/G430.html\" target=\"_blank\" rel=\"noopener\">firm<\/a>\u00a0must 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\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-8c9b4d0 elementor-widget elementor-widget-text-editor\" data-id=\"8c9b4d0\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\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><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 class=\"elementor-element elementor-element-d4015e3 elementor-align-right elementor-widget elementor-widget-button\" data-id=\"d4015e3\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"button.default\">\n\t\t\t\t\t\t\t\t\t\t<a class=\"elementor-button elementor-button-link elementor-size-sm\" href=\"https:\/\/www.fca.org.uk\/firms\/firm-details\">\n\t\t\t\t\t\t<span class=\"elementor-button-content-wrapper\">\n\t\t\t\t\t\t\t\t\t<span class=\"elementor-button-text\">Keeping your firm's details up-to-date<\/span>\n\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-64d1d5e elementor-hidden-phone e-con-full e-flex e-con e-child\" data-id=\"64d1d5e\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t<div class=\"elementor-element elementor-element-90c1311 elementor-widget elementor-widget-heading\" data-id=\"90c1311\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\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 class=\"elementor-element elementor-element-d7bd96e elementor-widget elementor-widget-text-editor\" data-id=\"d7bd96e\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"#\">Home<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-9663209 elementor-widget elementor-widget-text-editor\" data-id=\"9663209\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/disclosures\/\">3.1 | Disclosures<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-5a4e891 elementor-widget elementor-widget-text-editor\" data-id=\"5a4e891\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/financial-promotions\">3.2 | Financial Promotions<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-1e40d83 elementor-widget elementor-widget-text-editor\" data-id=\"1e40d83\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/consumer-duty\/\">3.3 | Consumer Duty<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-2e16f4b elementor-widget elementor-widget-text-editor\" data-id=\"2e16f4b\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/affordability\/\">3.4 | Affordability<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-36e65fa elementor-widget elementor-widget-text-editor\" data-id=\"36e65fa\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/vulnerable-customers\/\">3.5 | Vulnerable Customers<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-161dab9 elementor-widget elementor-widget-text-editor\" data-id=\"161dab9\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/anti-money-laundering-and-fraud-prevention\/\">3.6 | Anti-Money Laundering<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-dad897f elementor-widget elementor-widget-text-editor\" data-id=\"dad897f\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/complaints\">3.7 | Complaints<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-a445d7c elementor-widget elementor-widget-text-editor\" data-id=\"a445d7c\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/data-protection\">3.8 | Data Protection<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-a17c5ab elementor-widget elementor-widget-text-editor\" data-id=\"a17c5ab\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/training\/\">3.9 | Training<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-44964d6 elementor-widget elementor-widget-text-editor\" data-id=\"44964d6\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/smcr-framework\">3.10 | SMCR Framework<\/a>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-14cd262 elementor-widget elementor-widget-text-editor\" data-id=\"14cd262\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<a href=\"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/communication-with-the-regulator\/\">3.11 | Commiunication with the Regulator<\/a>\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\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-0627ae5 e-flex e-con-boxed e-con e-parent\" data-id=\"0627ae5\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t<div class=\"elementor-element elementor-element-4773775 e-con-full e-flex e-con e-child\" data-id=\"4773775\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-3ae83de elementor-widget elementor-widget-heading\" data-id=\"3ae83de\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\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<div class=\"elementor-element elementor-element-7b0b18f e-con-full e-flex e-con e-child\" data-id=\"7b0b18f\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t<div class=\"elementor-element elementor-element-83b4d56 e-con-full e-flex e-con e-child\" data-id=\"83b4d56\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t<div class=\"elementor-element elementor-element-c0d71e7 elementor-widget elementor-widget-text-editor\" data-id=\"c0d71e7\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\tFirms should notify the FCA of any issues they become aware of using the regulator\u2019s standard SUP 15 notification form:\t\t\t\t\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-4743d4b e-con-full e-flex e-con e-child\" data-id=\"4743d4b\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-b308355 elementor-align-right elementor-widget elementor-widget-button\" data-id=\"b308355\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"button.default\">\n\t\t\t\t\t\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\">\n\t\t\t\t\t\t<span class=\"elementor-button-content-wrapper\">\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\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-c8366fc elementor-align-right elementor-widget elementor-widget-button\" data-id=\"c8366fc\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"button.default\">\n\t\t\t\t\t\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\">\n\t\t\t\t\t\t<span class=\"elementor-button-content-wrapper\">\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\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-752139a elementor-widget elementor-widget-text-editor\" data-id=\"752139a\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\tEvolution 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.\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-e59fc77 e-flex e-con-boxed e-con e-parent\" data-id=\"e59fc77\" data-element_type=\"container\" data-e-type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;,&quot;animation&quot;:&quot;none&quot;}\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t<div class=\"elementor-element elementor-element-4abb2e6 e-con-full e-flex e-con e-child\" data-id=\"4abb2e6\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-5faf3b3 elementor-widget elementor-widget-heading\" data-id=\"5faf3b3\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Thank you, and if you require further information, please contact your Account Manager.<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"<p>Communication with the Regulator The FCA\u2019s Principle 11 states 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