The FCA has made the following announcement. “This morning we have announced that we are using emergency powers to prevent
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Platforms play a big part in the investment process of most UK firms. According to Defaqto, 94% of advisers place
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Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one
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The FCA has published details of its new approach to consumer protection, which the regulator hopes will give consumers the
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One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is
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There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself
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It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have
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Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
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“I’ve started so I’ll finish …”. A well known catchphrase first coined by Magnus Magnusson, the original presenter of the
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Based on data and live visits to firms during the period from April 2015 to rule changes in 2018 and
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