Annuities – changes to information requirements
The FCA is enhancing the requirements for the provision of an ‘information prompt’ to prospective annuity consumers.
Compliance
Pet hates of a file reviewer
A light hearted story of every day file reviews - with some serious messages.
MiFID II – Clarification on independence
There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.
LEI update
A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
MiFID II – Aggregated costs disclosure
This new requirement is posing some questions about how it can best be implemented. We think that firms should wait […]
MiFID ll – Compliance Function Enhancements
How will changes to compliance governance affect your company?
MiFID II – Telephone recording update
The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 […]
MiFID II – Suitability
Suitability remains much the same as pre-MiFID II but there are some changes that firms need to be aware of.
GDPR – new data protection rules
Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure […]
MiFID II – Independence article 1
Firms need to understand the implications of the MiFID II definition of independent advice.