FCA Business Plan – 2021/22
Publication of the FCA’s Business Plan for 2021/22 was delayed from its usual spot in April, finally appearing at the […]
Alistair MacDougall
The Avacade saga – a summary
Most readers will be aware of the FCA’s successful legal action in what has been widely referred to as the […]
Managing conflicts of interest
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself […]
Pension transfer advice – assessing transfer risk
It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have […]
Data protection – children, third-parties and lawful basis
We have written before (see here) about the situation where a privacy notice (and if required, consent) is covered with […]
DB Pension Transfers – some charging issues
The rules that came into effect in October 2020 arrived under a headline objective of ‘banning contingent charging’. Inevitably, the […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
Sustainable investing – a wild frontier?
We have written before about ‘ethical’ or ‘sustainable’ investing, most recently here, in recognition of the increasing presence of and […]
Pension transfer advice – personalised charges
“I’ve started so I’ll finish …”. A well known catchphrase first coined by Magnus Magnusson, the original presenter of the […]
Implementation of Investment Firms Prudential Regime
The FCA has published policy statement PS21/6 – Implementation of Investment Firms Prudential Regime (IFPRU). The policy statement […]