Existing FCA guidance continues to apply rather than new EU guidelines.
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This policy statement covers far more than the ban on contingent charging for transfer advice.
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The second part of our series covering the implications of PS20/06. This time ... Abridged Advice.
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Take care not to be caught out if the client provides details of another person.
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We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during
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How is client audio considered for the purposes of data protection?
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The FCA has issued a statement in respect of firms' call recording obligations during the COVID-19 emergency.
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Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.
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The General Data Protection Regulation – or GDPR as it is more familiarly referred to, took effect in May 2018.
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A quick look at the impact of GDPR, and the issues, two years on.
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