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