Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC
Read more
Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS)
Read more
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s
Read more
In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching
Read more
You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is
Read more
Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from
Read more
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and
Read more
We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules
Read more
The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to
Read more
Make sure you meet the SM&CR deadlines.
Read more