Operational resilience and preparing for BREXIT
BREXIT, cyber attacks, IT failures, market events - firms need to be able to weather all these events ... and […]
Compliance
Vulnerable clients
Do you recognise and deal appropriately with vulnerable clients?
Final phase of the FCA’s transfer review starts
If you are involved in advising on DB transfers, this will be of interest.
New transfer advice rules – 1 October 2018
New rules around transfer advice apply from 1 October 2018. Make sure you are aware and ready for them.
The Insurance Distribution Directive is almost here
The Insurance Distribution Directive (IDD) will impact all IFA and Insurance Intermediaries.
Rules and constraints on using FCA logo or FCA authorisation in a promotional way
Firms are reminded that they must not use the FCA logo or authorisation in a promotional way.
Outsourcing to the ‘cloud’
The FCA has issued updated guidance for firms in relation to the use of outsourced IT services.
Pension Switch Issues
A recent FOS decision confirms regulatory and good practice requirements in relation to Pension Switches.
The FCA has moved!
Make sure you update your documents.
Transfer advice – Insistent clients
Should you deal with insistent clients?