What’s on the horizon for 2020?
See what 2020 has in store.
Alistair MacDougall
Approving Financial Promotions
The FCA has issued a Dear CEO letter with further guidance regarding the approval of financial promotions.
Research and due diligence… not the same thing
Do your research and due diligence processes stack up in the face of PROD?
SM&CR – sole traders and single directors
Sole traders and Single Director firms might look similar but they are treated differently under SM&CR.
Good news from 2019
It wasn't all doom and gloom.
Pet hates of a file reviewer – part three
Our file reviewers share their compliance turkeys.
FCA Connect – New Requirement for firms from January 2020
From January 2020, firms will be required to submit their mandatory annual update via Connect.
FCA restriction on the promotion of mini-bonds
A temporary restriction on the promotion of min-bonds is effective from January 2020, pending a wider consultation on permanent restrictions.
Top 7 risk profiling issues
It's the time of year for lists so we have listed our top 7 risk profiling issues.
Do you need discretionary permissions?
Firms need discretionary permissions to outsource to a Discretionary Investment Manager.