Policy Statement PS 20/06
This paper announced a number of significant changes to the rules around transfer advice.
Compliance
FCA framework for firms on assessing adequate financial resources
The FCA has published final guidance on a framework to help financial services firms ensure they have adequate financial resources […]
Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during […]
Recording calls and meetings
How is client audio considered for the purposes of data protection?
FCA – Coronavirus Financial Resilience Survey
The FCA is writing to around 13,000 firms with a short survey.
FCA DB Transfer ‘Advice Checker’
The FCA has published guidance for consumers wanting to check if the advice they received to transfer out of a […]
COVID 19 – Pension Guide
The FCA has partnered with other regulators to create a guide for consumers.
Continuing Professional Development (CPD) carry over
It may be possible to carry some CPD over from the current year.
Call recording issues
The FCA has issued a statement in respect of firms' call recording obligations during the COVID-19 emergency.
Scam email
An email being received by firms, purporting to be from the FCA, is a scam.