Another March reminder! Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021. Submissions of 10 persons or
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March is almost here and Spring is in the air. So probably the last thing you are thinking about is
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We have received the following from the FCA; "On Tuesday 23 February, we published guidance for firms on the fair
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Consultation on increasing the NMPA to age 57 On 10 February 2021, and without much in the way of publicity,
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Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were
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Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
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Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from
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We have recently been made aware of scam emails appearing to request firms to provide information via RegData, which the
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In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and
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We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules
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