Register for Connect
The FCA is encouraging firms to ensure they are registered on Connect.
Alistair MacDougall
FCA position on phoenixing
The FCA has stated its position on phoenixing type practices.
Do you have authority to use a DFM?
There is an ever increasing use of DFM solutions for client portfolios but many firms might not have authority to […]
SM&CR – FCA latest
The FCA has issued some further gudance for firms.
SM&CR – Conduct Rules reminder
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.
Shareholder Rights Directive II
Do you provide a discretionary management service investing in shares on a regulated market?
Cyber resilience
Could your business repel and recover from a cyber attack?
FCA ‘Improving the suitability of financial advice’ speech
The FCA has published the transcript of a speech delivered by Debbie Gupta of the FCA which we recommend all […]
SM&CR – latest FCA podcasts
SM&CR is well on the way. Hear the latest podcasts.
Mortgage Responsible Lending Update
The FCA has published the first summary of the discussions from the responsible lending implementation group.