FG 16/5 Outsourcing to the cloud and other third party IT services
Firms using cloud based or other third party IT services should note the FCA's guidance.
Alistair MacDougall
Changes to Complaints Handling Rules Effective 30/06/2016
The 1 day rule is now 3 days ..... and you need to write to the client ..... and you […]
Is a platform the right answer?
Firms' use of platforms is on the FCA's radar. Are you getting it right?
FCA survey of firms providing financial advice
This report contains a wealth of interesting information for firms. See how you compare.
Suitability – still the FCA’s hot topic
A reminder of why suitability should be your top priority.
FCA Positive Compliance – Mortgage Session
“The advice process: building a solid base.” A summary of the FCA mortgage roadshow.
FCA Positive Compliance – Investments
One of a series of roadshows the FCA is running around the country, this session offered some new insights into […]
Important Changes to Capital Adequacy – A Reminder
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
Inducements and conflicts of interest
The FCA reminds firms of their expectations in relation to conflicts of interest.
Pensions reforms – new advice rules
New rules around pension advice came into effect on 25 Aprill 2016. See here for details.