SM&CR – latest FCA podcasts
SM&CR is well on the way. Hear the latest podcasts.
2019
The Financial Services Register and The Directory
Want to know more about upcoming changes to the Register and the introduction of the public facing Directory?
BREXIT and passporting
Firms that wish to operate in the EU/EEA after BREXIT need to take action.
Fair treatment of vulnerable clients
The FCA is consulting on proposed guidance to firms in dealing with vulnerable clients.
FCA Policy Statement PS19/21 – Retirement Outcomes Review
While this paper is mostly of relevance to Pension Providers, there are some implications for advisers.
FCA Framework for assessing adequate financial resources
The outcome of CP19/20 could have far reaching implications for firms.
SM&CR – Conduct Rules
The FCA has stated clearly that monitoring firms' implementation of the Conduct Rules will be a key focus in future […]
PROD rules and risk tolerance
All is not what it seems when considering the risk tolerance rating of different funds.
BREXIT latest FCA position statement
Given recent changes in the UK's position on BREXIT, the FCA has updated its guidance.
PASA Guidance on DB Transfers
What timescales and standards should Scheme Administrators be working to when a member wishes to transfer benefits?