Transfer Advice – Partial Transfers
Taking a partial transfers could be a suitable option for many clients.
Compliance
Recording telephone conversations
The FCA has published its policy on recording telephone calls.
Transfer Advice – avoiding the pitfalls.
The first of a series of guides on transfer advice.
Compliance Officer Liabilities
Compliance Officers can be held personally liable for compliance failings. Read how to avoid this situation arising.
Legal Entity Identifiers
Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.
Dealing with insistent clients
FCA consults on new rules for insistent clients. Read here for more detail.
Money Laundering Regulations 2017
Updated Money Laundering regulations now in force
FCA Publishes Its Response To Appropriate Qualifications Consultation
The FCA has made some minor changes to the TC Rulebook.
FG17/4 – The fair treatment of mortgage customers in payment shortfall: impact of automatic capitalisations
Finalised guidance around automatic capitalisation of mortgage arrears.
The Assessing Suitability Review
The long awaited results of the FCA's 2016 suitability review have finally been published.