RegData – Gabriel replacement
The FCA is now preparing to gradually move firms across to RegData, the new data collection platform, which replaces Gabriel.
Alistair MacDougall
Data protection for joint parties
Take care not to be caught out if the client provides details of another person.
Consideration of life cover options when advising on transfers
Transfers and death benefits: considering life cover as more than lip service.
Adviser only platforms
Is it risky to recommend a client invests via an adviser only platform?
ESG investing – new rules coming along soon
New rules around ESG investing are expected in 2021. Firms should start preparations sooner than later.
FCA framework for firms on assessing adequate financial resources
The FCA has published finalised guidance on its framework to help financial services firms ensure they have adequate financial resources and take […]
FCA framework for firms on assessing adequate financial resources
The FCA has published final guidance on a framework to help financial services firms ensure they have adequate financial resources […]
Policy Statement PS 20/06
This paper announced a number of significant changes to the rules around transfer advice.
Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during […]
FCA DB Transfer ‘Advice Checker’
The FCA has published guidance for consumers wanting to check if the advice they received to transfer out of a […]