Research and due diligence… not the same thing
Do your research and due diligence processes stack up in the face of PROD?
2020
FCA restriction on the promotion of mini-bonds
A temporary restriction on the promotion of min-bonds is effective from January 2020, pending a wider consultation on permanent restrictions.
FCA Connect – New Requirement for firms from January 2020
From January 2020, firms will be required to submit their mandatory annual update via Connect.
Transfer advice – the impact of ongoing charges
Clients should not transfer unless that is in their best interests. The impact of initial and ongoing charges is one […]
Register for Connect
The FCA is encouraging firms to ensure they are registered on Connect.
SM&CR – Conduct Rules reminder
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.
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?
Live and Local Q&A events for mortgage intermediaries and lenders
See here for dates and registration details.
FCA Policy Statement PS19/21 – Retirement Outcomes Review
While this paper is mostly of relevance to Pension Providers, there are some implications for advisers.
RDR/FAMR Review – Firm Information Request
What might this indicate about the FCA's areas of focus?