FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers
New rules for firms in relation to NMPIs, SISs or mini bonds.
Alistair MacDougall
FCA Systems Outage
Dates to note.
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
FCA reminder of SMCR Implementation
Firms are reminded of the requirements and deadlines for implementing the SM&CR.
Pension transfers – scheme information
Scheme data templates are available to make the process of obtaining scheme and member information more efficient.
Portfolio letter to Mortgage Intermediaries
The FCA has written to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.
Claims Management Portfolio Letter
FCA expectations of all firms involved in claims management, including advisers wanting to help their own clients to pursue a […]
EU withdrawal – end of transition
Only a few weeks to go. Are you ready?
FS Register – downtime and data
Dates to note.
Pension transfers – ensuring client understanding
The new rules around transfer advice set a difficult challenge for advisers.