FCA focus for 2019/20
The FCA has given a clear idea of where it will focus attention in the coming year.
Alistair MacDougall
Is your email footer compliant?
Many are not ...
Thematic Review – GI Distribution
The FCA warns GI firms to place greater focus on customer outcomes.
Principals and Appointed Representatives – action needed
Following recent FCA investigations that resulted in a Dear CEO letter, firms that have Appointed Representatives need to review the […]
Supervisor training 2019
Details of next scheduled event.
Pension Transfers – the ‘Why now?’ question
So, it's right for the client to transfer ... but should the transfer be done NOW?
Dealing with Powers of Attorney
The Office of the Public Guardian has produced a helpful guide for firms in how to deal with customers where […]
FCA live events
These could be of interest.
FCA Business Plan 2019-20
The FCA has announced its priorities for action over the coming months.
Investment Platforms Market Study
The FCA has reported its conclusions on the Platform market ahead of a Consultation Paper.