Are you ready for the recording rules?
Client conversations might need to be recorded from January 2018. Are you ready?
Alistair MacDougall
New regulated activity – advising on P2P agreements
What you need to know about this new regulatory activity.
Reporting complaints upheld against an adviser
A timely reminder of when you need to notify the FCA.
Suitability – Thematic Review
700 firms to participate in this thematic review. Read this for details.
Second mortgages and independence
New rules came into effect on 21 March around advising on second charge loans. How do they affect independence?
FCA priorities 2016-17
The FCA's latest business plan indicates where their focus will be. Read this to understand how some of these affect […]
FCA Positive Compliance Workshops
The FCA has announced the 2014/2015 programme of Positive Compliance workshops.