SM&CR and Appointed Representatives
What should Principal Firms do in relation to ARs?
Compliance
Transfer advice – ensuring client understanding
It is not enough for advice to be provided - it has to be understood.
Register for Connect
The FCA is encouraging firms to ensure they are registered on Connect.
FCA letter to DB Transfer firms
The FCA is writing to around 1700 firms requesting that firms review their transfer advice processes and report back.
SM&CR – are you ready?
9 December is approaching fast - are you ready for SM&CR?
Do you have authority to use a DFM?
There is an ever increasing use of DFM solutions for client portfolios but many firms might not have authority to […]
FCA position on phoenixing
The FCA has stated its position on phoenixing type practices.
SM&CR – FCA latest
The FCA has issued some further gudance for firms.
Cyber resilience
Could your business repel and recover from a cyber attack?
Shareholder Rights Directive II
Do you provide a discretionary management service investing in shares on a regulated market?