10% Portfolio Drop Rule – dropped!
As part of the Government’s reforms of previous EU legislation, next on the list is the proposal to scrap the […]
Compliance
GI – value measures
We have received the following from the FCA. We want to draw attention to a new FCA publication; […]
What’s in a name?
Having recently seen examples of firms registering trading names in the wrong circumstances and/or using them in a way which […]
Consumer Duty is Dead, long live Consumer Duty
Déjà vu? Did you watch the FCA Consumer Duty (CD) webinars? Somewhat belated perhaps and certainly no Oscar nominations arising, […]
FCA RegData guidance
As previously advised, the FCA has now replaced Gabriel with RegData as the new data collection platform for gathering regulatory […]
Reminder for firms: Appointed Representatives (ARs) – Data Request
On 9th August 2022 we wrote regarding the changes coming to the Appointed Representative Regime specifically outlining the new rules […]
Consumer Duty – FCA information and help
The FCA has added to its published information relating to Consumer Duty to help firms with implementation. The […]
Financial Resilience Survey
The FCA has issued the following information. We have published a Consultation Paper with proposals to replace the […]
Ask a silly question …
A common feature of many file checks is missing or unclear client information. Missing information is generally due […]
Consumer Duty starts to take hold
Consumer Duty rules will take full effect from 31 July 2023. However, it is starting to show its face already. […]