What’s on the horizon for 2020?
See what 2020 has in store.
2019
SM&CR – sole traders and single directors
Sole traders and Single Director firms might look similar but they are treated differently under SM&CR.
Good news from 2019
It wasn't all doom and gloom.
Fair Treatment of Vulnerable Clients
The FCA is gathering information from firms in relation to the fair treatment of vulnerable clients.
FCA letter to DB Transfer firms
The FCA is writing to around 1700 firms requesting that firms review their transfer advice processes and report back.
SM&CR – are you ready?
9 December is approaching fast - are you ready for SM&CR?
SM&CR – FCA latest
The FCA has issued some further gudance for firms.
Shareholder Rights Directive II
Do you provide a discretionary management service investing in shares on a regulated market?
SM&CR – Conduct Rules reminder
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.
Mortgage Responsible Lending Update
The FCA has published the first summary of the discussions from the responsible lending implementation group.