GDPR – two years on
A quick look at the impact of GDPR, and the issues, two years on.
Compliance
Handling complaints during the COVID-19 emergency
The FCA has outlined its expectations of firms in relation to complaints handling.
Market downturn – communicating with clients
What should you tell clients about their investments in the current emergency?
Schemes to issue transfer warning
The Pensions Regulator has issued new guidance to schemes.
If it’s not written down, it doesn’t exist
A timely reminder of the need for advice to be documented comprehensively.
SM&CR training
During a recent workshop, the FCA commented on SM&CR training. They do not believe that some e-learning or short generic […]
FOS limit changes
On 1 April 2019, the FCA increased the Financial Ombudsman Service’s award limit from £150,000 to £350,000. This applies to […]
COVID-19 and vulnerable customers
Some readers might remember that the FCA issued a guidance consultation paper in July 2019, GC19/3 – Guidance for firms on […]
FCA Business Plan – 2020/21
The FCA has published its Business Plan for 2020/21.
Appointed Representatives and the FCA Directory
A reminder that ARs should be included as Directory Persons.