Consumer Credit: FCA Deadline & Do I Need Permissions?
The deadline for full transition to the FCA is nearly upon us. Have you applied and are you confident of […]
Steve Bailey
No More FSA
The deadline (31/03/2014) requiring advisory firms to replace 'Financial Services Authority' with 'Financial Conduct Authority' is fast approaching.
Annuity Panel Referrals
This article will be of interest to ALL Independent Firms that refer pension annuity business to specialist annuity companies.
Positive Compliance: Episode Four
This is the fourth in our series of Positive Compliance news articles and focusses on what the FCA looks for […]
Financial Scams – Insuring the IFA’s Own Losses and the Client’s Losses
More and more stories are coming to light of fraudulent schemes continuing to evolve at an alarming rate (please see […]
Finalised Guidance: Inducements & Conflicts of Interest
The FCA’s finalised guidance (FG14-01) sets clear parameters.
Positive Compliance: Episode Three
This is the third in our series of Positive Compliance news articles and focusses on the important topic of Income […]
Financial Scam Follow Up
Following on from our previous article on this subject, one of our clients has kindly supplied the following information.
Mortgage Market Review Documentation
The changes outlined in the Mortgage Market Review (MMR) come into effect on 26th April 2014. As promised ATEB now […]
Positive Compliance: Episode Two
This is the second in our series of Positive Compliance news articles and focusses on the important topic of Pension […]