Abridged advice – how is it going so far?
Based on data and live visits to firms during the period from April 2015 to rule changes in 2018 and […]
2018
Data Protection – post BREXIT update
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s […]
10% depreciation reporting to be reviewed
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in […]
Vulnerable clients – FCA finalised guidance
In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching […]
Should clients take Abridged Advice?
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should […]
What’s up with WhatsApp?
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and […]
2021 New Year reminders!
It is 2021 and changes are afoot ...
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
Claims Management Portfolio Letter
FCA expectations of all firms involved in claims management, including advisers wanting to help their own clients to pursue a […]
EU withdrawal – end of transition
Only a few weeks to go. Are you ready?