Financial protection post-BREXIT
In December 2020, we reminded readers about the expected changes to FSCS protection after the EU withdrawal period ended on […]
Compliance
FCA Defined Benefit Advice Assessment Tool (DBAAT)
You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is […]
Publication of Directory Persons data
Another March reminder! Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021. Submissions of 10 persons or […]
The Final Countdown to Senior Managers and Certificate Regime (SM&CR)
March is almost here and Spring is in the air. So probably the last thing you are thinking about is […]
FCA guidance on treating vulnerable customers fairly
We have received the following from the FCA; “On Tuesday 23 February, we published guidance for firms on the fair […]
Increasing the normal minimum pension age
Consultation on increasing the NMPA to age 57 On 10 February 2021, and without much in the way of publicity, […]
Making platform transfers simpler
Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were […]
Should clients take Abridged Advice?
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should […]
Passporting
Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from […]
Scam emails
We have recently been made aware of scam emails appearing to request firms to provide information via RegData, which the […]