DP 21/1 – strengthening financial promotion rules for high-risk investments
The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions.
2020
FCA Covid-19 survey to be repeated
We have been advised by the FCA that they intend to issue yet another Covid-19 survey shortly. This is the
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable
Changes to DB Transfer redress calculations – an update
We wrote about the background to updated redress guidance following the Chancellor’s announcement of changes to the way that the
Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC
FCA COVID SURVEY – PART 4
The FCA has advised the following: “Many of you will be aware that we issued the first phase of the
Data Protection – post BREXIT update
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s
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
10% depreciation reporting to be reviewed
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in
GI and mortgage intermediary firms – PII cover and pandemic exclusions
The significant increase in PII costs for firms providing investment advice in recent years and the difficulties for firms doing