COVID-19 and vulnerable customers
The COVID-19 pandemic might result in additional client vulnerability.
2019
FOS limit changes
1 April 2020 - FOS awards limits changes.
PROD – risk tolerance and risk mapping
All is not as it seems.
Are passives the new benchmark?
Costs are under close scrutiny by the FCA. What do firms need to consider?
ESG investing
The profile of ESG investments has increased significantly in recent months. Firms need to be consider how those fit into […]
Dear CEO – 2020
The FCA has been busy writing letters in 2020, and it's still only February.
Pension switches (and other replacement business)
Is your pension switch advice suitable?
Invisible advisers
Advisers no longer appear on the FS Register. What are the implications?
Fifth Money Laundering Directive (5MLD)
Changes are effective from 10 January 2020. Make sure you are implementing the rules as required.
Approving Financial Promotions
The FCA has issued a Dear CEO letter with further guidance regarding the approval of financial promotions.