Pension transfer advice – assessing transfer risk
It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have […]
Compliance
Data protection – children, third-parties and lawful basis
We have written before (see here) about the situation where a privacy notice (and if required, consent) is covered with […]
DB Pension Transfers – some charging issues
The rules that came into effect in October 2020 arrived under a headline objective of ‘banning contingent charging’. Inevitably, the […]
Anti Money Laundering Review …… Dear CEO – Banking Sector
The Financial Conduct Authority (FCA), in May 2021, issued a Dear CEO letter entitled “Action needed in response to common […]
General Insurance Pricing Practices: rule change mapping
We have recently issued a couple of newsletter articles relating to the changes being implemented by policy statement 21/05 “General […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
FCA survey – reply dates extended
We wrote with details of the latest FCA survey. You can read those details here. The FCA has now extended […]
Sustainable investing – a wild frontier?
We have written before about ‘ethical’ or ‘sustainable’ investing, most recently here, in recognition of the increasing presence of and […]
Pension transfer advice – personalised charges
“I’ve started so I’ll finish …”. A well known catchphrase first coined by Magnus Magnusson, the original presenter of the […]
FCA Covid-19 Survey #5
The FCA has advised; Many of you will be aware that we issued the first phase of the Covid-19 Impact […]