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.
The profile of ESG investments has increased significantly in recent months. Firms need to be consider how those fit into their investment and advice processes.
Free client guides are available from the Money Advice Service.
The FCA has been busy writing letters in 2020, and it’s still only February.
The IR35 regime is due to be extended in April 2020 but is ‘under review’.
Are passives the new benchmark?
Alistair MacDougall Compliance 2018, 2019, FCA, MiFID, Pension, PI
Costs are under close scrutiny by the FCA. What do firms need to consider?