CP16/18 – PRIIPs and the new rules on disclosure 17 August 2016 Alistair MacDougallCompliance New rules on disclosure will come into effect on 31 December 2016. See here for more information. Read More
Unauthorised introducers 17 August 2016 Alistair MacDougallCompliance There has been a proliferation of cases where advisers have advised clients gained via unauthorised introducers, with disastrous outcomes for […] Read More
July 2016 Update 17 July 2016 David AndersonSuitability More Choice - More Flexibility - More Relevance Read More
Changes to Complaints Handling Rules Effective 30/06/2016 26 June 2016 Alistair MacDougallCompliance The 1 day rule is now 3 days ..... and you need to write to the client ..... and you […] Read More
Is a platform the right answer? 16 June 2016 Alistair MacDougallCompliance Firms' use of platforms is on the FCA's radar. Are you getting it right? Read More
Important Changes to Capital Adequacy – A Reminder 1 June 2016 Alistair MacDougallCompliance Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June? Read More
ATEB suitability Upgrade 23 May 2016 David AndersonSuitability More Choice - More Flexibility - More Relevance Read More
Pensions reforms – new advice rules 26 April 2016 Alistair MacDougallCompliance New rules around pension advice came into effect on 25 Aprill 2016. See here for details. Read More
New regulated activity – advising on P2P agreements 18 April 2016 Alistair MacDougallCompliance What you need to know about this new regulatory activity. Read More
Second mortgages and independence 7 April 2016 Alistair MacDougallCompliance New rules came into effect on 21 March around advising on second charge loans. How do they affect independence? Read More