Market downturn – communicating with clients
What should you tell clients about their investments in the current emergency?
Alistair MacDougall
SM&CR training
During a recent workshop, the FCA commented on SM&CR training. They do not believe that some e-learning or short generic […]
FOS limit changes
On 1 April 2019, the FCA increased the Financial Ombudsman Service’s award limit from £150,000 to £350,000. This applies to […]
COVID-19 and vulnerable customers
Some readers might remember that the FCA issued a guidance consultation paper in July 2019, GC19/3 – Guidance for firms on […]
Appointed Representatives and the FCA Directory
A reminder that ARs should be included as Directory Persons.
FCA Business Plan – 2020/21
The FCA has published its Business Plan for 2020/21.
Working from Home – Data Protection and Security
Many people are currently working from home. What are the implications for data security?
Pensions and Retirement Income – FCA COVID-19 guidance
FCA guidance for pension providers and DB transfer advisers.
COVID-19: Guidance for financial firms
In light of the continuing and increasing concerns over the COVID-19 virus and its impact on the economy and consequently […]
Replacing wet signatures
Dealing with clients remotely means that obtaining a wet signature can be problematic.