The FCA has published an alert to all Principals, regardless of sector, who have one or more Appointed Representatives or Introducer Appointed Representatives (‘ARs’). Principals are responsible for the regulated activities of their ARs. The alert sets out the risks that the FCA expects firms to consider and act upon, where relevant.
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This is a follow up to previous alerts about the risks involved in dealing with Introcuders. All Principal and Appointed Representative firms should read it.
For information.
Can you? Should you?
It is essential to consider LTA implications carefully when transferring from a pension arrangement with safeguarded benefits.
A series of temporary measures come into effect on Monday, 18 May 2020.
Guidance for firms working from home.
Clients – according to PROD
Alistair MacDougall Compliance 2018, MiFID, PI
Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.