Notifying breaches of the Conduct Rules
Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now
2019
Data protection – ICO mailing campaign
One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is
Pension transfer advice – assessing transfer risk
It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have
Fund managers falling short on assessing the value of their funds
One of the issues identified in the FCA’s Asset Management Market Study was a lack of competition among fund providers
Cryptocurrency prohibition
It is likely that all our readers have heard of cryptocurrency, probably in the guise of Bitcoin. This cryptocurrency and
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable
FOS award limit to remain unchanged
The FCA has made the following announcement about the FOS award limit. “When we increased the Financial Ombudsman Service’s award
Directory Persons Data
The FCA has been writing to some firms recently with an ‘ACT NOW’ message, stating: “We are writing to you
Making platform transfers simpler
Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were
FCA – Update on SMR and CF (AR) applications
Approvals are currently taking longer than normal.