Recording telephone conversations
The FCA has published its policy on recording telephone calls.
2017
Money Laundering Regulations 2017
Updated Money Laundering regulations now in force
MiFID II applications and notifications
MiFID II comes into being on 3 January 2018 but firms need to take action now.
Important Changes to Capital Adequacy – A Reminder for Smaller Firms
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
Implementing the FAMR – consultation paper
The FCA is pushing ahead with implementation of the FAMR. The latest consultation paper explains what is happening.
ATEB Supervisor Training and Complementary Courses
ATEB Training Days announced
April 2017 Update
More Choice - More Flexibility - More Relevance
2017/18 Tax Year Changes
In consideration of the 2017/18 Tax Year, please note the following changes to ATEB suitability for your records. Effective from […]
Adviser fees – the FCA’s next target?
It seems highly likely that adviser fees will come under FCA scrutiny.
Important reminders
Significant changes are imminent relating to disclosure documents and also GI renewals.