Important – requirement to notify clients with overseas assets or income
If you have clients with overseas income or assets you might need to notify them of HMRC requirements.
Compliance
PS16/21 – Increasing transparency and engagement at renewal in general insurance markets
From 1 April 2017 firms will be required to encourage customers to check if auto-renewing is the right thing for […]
FG 16/5 Outsourcing to the cloud and other third party IT services
Firms using cloud based or other third party IT services should note the FCA's guidance.
CP16/18 – PRIIPs and the new rules on disclosure
New rules on disclosure will come into effect on 31 December 2016. See here for more information.
Unauthorised introducers
There has been a proliferation of cases where advisers have advised clients gained via unauthorised introducers, with disastrous outcomes for […]
Changes to Complaints Handling Rules Effective 30/06/2016
The 1 day rule is now 3 days ..... and you need to write to the client ..... and you […]
Is a platform the right answer?
Firms' use of platforms is on the FCA's radar. Are you getting it right?
Suitability – still the FCA’s hot topic
A reminder of why suitability should be your top priority.
FCA survey of firms providing financial advice
This report contains a wealth of interesting information for firms. See how you compare.
FCA Positive Compliance – Mortgage Session
“The advice process: building a solid base.” A summary of the FCA mortgage roadshow.