PROD rules and risk tolerance
All is not what it seems when considering the risk tolerance rating of different funds.
2018
Fifth Money Laundering Directive (5MLD)
5MLD will affect firms' AML processes.
GDPR – one year on
GDPR has now been in place for a year - how is it going?
Impact of Data Protection on the Senior Managers & Certification Regime (SM&CR)
How does Data Protection affect the recruitment process?
FCA live events
These could be of interest.
Preparing for the Senior Managers and Certification Regime
The SM&CR applies to all FCA regulated firms from December 2019.
2019/20 Tax Year Changes & April 2019 Update
New Aggregated Costs and Charges Template / Extended Intelligent Office Integration
Cash Flow Models – compliant or not?
The FCA has concerns about how cash flow models are used.
Ex-Post costs and charges statements due soon!
The first statements must be issued by the end of March 2019.
IR35 and self-employed advisers
New IR 35 rules are effective from April 2020.