Policy Statement PS 20/06
On 5 June, the FCA published the long awaited policy statement following its consultation from 2019, CP 19/25. The policy […]
Compliance
Complaints considered by a court
Can the FOS consider complaints after they have been through the legal system?
Outsourcing to cloud and other IT service providers
Existing FCA guidance continues to apply rather than new EU guidelines.
PS20/06 – part four: Just one more thing?
This policy statement covers far more than the ban on contingent charging for transfer advice.
PS20/06 – part three: Workplace pensions
This article looks at the requirement to consider the client's workplace pension as a target for any pension transfer.
Complaints return – a reminder
A brief reminder for firms about the FCA’s RIA complaint notification requirements.
Updated FS Register
The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register on 27 July.
Professional Indemnity Insurance
A reminder that firms having adequate PI cover is an area of focus for the FCA.
Investment pathways rules deferred
The effective date of the new rules on investment pathways has been deferred.
PS20/06 – part two
The second part of our series covering the implications of PS20/06. This time ... Abridged Advice.