The UK has now left the EU. We are in a transition period which is due to end on 31 December 2020. While most rules and requirements continue unchanged during the transition for most firms and most clients, it is prudent to keep up to date on the current position and what is likely to happen when the transition period ends.
The FCA has gathered all its BREXIT related information and links here.
Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.
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Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.
Compliance Officers can be held personally liable for compliance failings. Read how to avoid this situation arising.
Updated Money Laundering regulations now in force
The long awaited results of the FCA’s 2016 suitability review have finally been published.
Dealing with insistent clients
Alistair MacDougall Compliance 2016, FCA, Pension
FCA consults on new rules for insistent clients. Read here for more detail.