Consumer Duty Dear CEO Letter: Demonstrating Value
Last week the FCA issued a Dear CEO Letter to firms in the Consumer Investment sector to “help them implement […]
Paul Caine
Consumer Duty: FCA Multi-Firm Review
The FCA has published the results of its review of the Consumer Duty implementation plans of larger firms, in order […]
PS23/1 – Extended asset retention requirement for firms under the British Steel Pension Scheme consumer redress scheme
This article will be of relevance to firms who have provided pension transfer advice to members of the British Steel […]
PS22/14 – Consumer redress scheme for unsuitable advice to transfer out of the British Steel Pension Scheme
This article will be of relevance to firms who have provided pension transfer advice to members of the British Steel […]
FCA – new power to vary or cancel permissions
The FCA can now vary or cancel permissions more quickly than previously applied. What is changing The FCA […]
Consumer Duty – impact on adviser charging
The FCA is devoting a great deal of weight to its upcoming Consumer Duty regulations. These will be finalised in […]
Pension Transfers and Serious Ill Health Lump Sums
We often see pension transfer cases where the client is in ill health and with this as the primary driver […]
General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation
The FCA is requesting that firms who have general insurance permissions (and premium finance providers), complete an online survey in […]
IFPR and Remuneration Policy
The new UK Investment Firms Prudential Regime (“IFPR”) came into force on 1 January 2022 and applies to UK investment […]
IFPR – are you ready?
The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”. […]
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