Transfer advice – ensuring client understanding
It is not enough for advice to be provided - it has to be understood.
Compliance
SM&CR and Appointed Representatives
What should Principal Firms do in relation to ARs?
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.
Shareholder Rights Directive II
Do you provide a discretionary management service investing in shares on a regulated market?
SM&CR – Conduct Rules reminder
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.