The FCA has published the latest data on its work to tackle harm in the consumer investments market between April to September 2021. The data provides useful insights into specific areas of the FCA’s Consumer Investments Strategy, particularly higher-risk investments and scams.
They have also issued a press release on the data, which you can find here.
Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.
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If you are involved in advising on DB transfers, this will be of interest.
The FCA has issued updated guidance for firms in relation to the use of outsourced IT services.
Firms are reminded that they must not use the FCA logo or authorisation in a promotional way.
The Insurance Distribution Directive (IDD) will impact all IFA and Insurance Intermediaries.
New transfer advice rules – 1 October 2018
Alistair MacDougall Compliance 2018, 2019, FCA, Pension, Pension Transfer, Update
New rules around transfer advice apply from 1 October 2018. Make sure you are aware and ready for them.