Do your research and due diligence processes stack up in the face of PROD?
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A temporary restriction on the promotion of min-bonds is effective from January 2020, pending a wider consultation on permanent restrictions.
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From January 2020, firms will be required to submit their mandatory annual update via Connect.
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Clients should not transfer unless that is in their best interests. The impact of initial and ongoing charges is one
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The FCA is encouraging firms to ensure they are registered on Connect.
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Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.
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Want to know more about upcoming changes to the Register and the introduction of the public facing Directory?
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See here for dates and registration details.
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While this paper is mostly of relevance to Pension Providers, there are some implications for advisers.
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What might this indicate about the FCA's areas of focus?
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