Clients – according to PROD
Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.
Compliance
Drawdown and the Second Lifetime Allowance Test
It is essential to consider LTA implications carefully when transferring from a pension arrangement with safeguarded benefits.
Advising non-UK resident clients
Can you? Should you?
COVID-19: FCA guidance on handling paper and post
Guidance for firms working from home.
FCA confirms measures to help insurance customers who may be suffering financial difficulties as a result of coronavirus
A series of temporary measures come into effect on Monday, 18 May 2020.
Acquiring or selling a business
What needs to be considered when buying or selling an adviser firm?
FCA extend SMCR period of absence
The FCA has made a temporary modification to the rules around providing cover for an absent Senior Manager.
GDPR – two years on
The General Data Protection Regulation – or GDPR as it is more familiarly referred to, took effect in May 2018. […]
Handling complaints during the COVID-19 emergency
The FCA is aware that, as a result of the current health emergency, many firms are facing challenges in maintaining […]
If it’s not written down, it doesn’t exist
How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that […]