COVID-19: FCA guidance on handling paper and post
Guidance for firms working from home.
Alistair MacDougall
FCA extend SMCR period of absence
The FCA has made a temporary modification to the rules around providing cover for an absent Senior Manager.
Acquiring or selling a business
What needs to be considered when buying or selling an adviser firm?
GDPR – two years on
The General Data Protection Regulation – or GDPR as it is more familiarly referred to, took effect in May 2018. […]
Handling complaints during the COVID-19 emergency
The FCA is aware that, as a result of the current health emergency, many firms are facing challenges in maintaining […]
If it’s not written down, it doesn’t exist
How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that […]
Handling complaints during the COVID-19 emergency
The FCA has outlined its expectations of firms in relation to complaints handling.
GDPR – two years on
A quick look at the impact of GDPR, and the issues, two years on.
If it’s not written down, it doesn’t exist
A timely reminder of the need for advice to be documented comprehensively.
Schemes to issue transfer warning
The Pensions Regulator has issued new guidance to schemes.