Pension switches (and other replacement business)
Is your pension switch advice suitable?
Compliance
Invisible advisers
Advisers no longer appear on the FS Register. What are the implications?
Fifth Money Laundering Directive (5MLD)
Changes are effective from 10 January 2020. Make sure you are implementing the rules as required.
5MLD – the Trust Registration Service scope widens
The scope of the TRS has widened under 5MLD.
Approving Financial Promotions
The FCA has issued a Dear CEO letter with further guidance regarding the approval of financial promotions.
What’s on the horizon for 2020?
See what 2020 has in store.
SM&CR – sole traders and single directors
Sole traders and Single Director firms might look similar but they are treated differently under SM&CR.
Research and due diligence… not the same thing
Do your research and due diligence processes stack up in the face of PROD?
Pet hates of a file reviewer – part three
Our file reviewers share their compliance turkeys.
Good news from 2019
It wasn't all doom and gloom.