PROD rules and risk tolerance
All is not what it seems when considering the risk tolerance rating of different funds.
2020
BREXIT latest FCA position statement
Given recent changes in the UK's position on BREXIT, the FCA has updated its guidance.
FCA contingent charging consultation
The FCA is proposing a series of wide ranging changes in relation to pension transfer advice, including a ban on […]
SM&CR – a quick guide
Short of time to read about SM&CR? This quick guide should help.
Fifth Money Laundering Directive (5MLD)
5MLD will affect firms' AML processes.
Investment Platforms Market Study
The FCA has reported its conclusions on the Platform market ahead of a Consultation Paper.
Preparing for the Senior Managers and Certification Regime
The SM&CR applies to all FCA regulated firms from December 2019.
FCA announces details of the ‘Directory’
The Directory is intended to make it easier for the public to get information about firms and individuals.
IR35 and self-employed advisers
New IR 35 rules are effective from April 2020.
Aggregated costs and charges
Firms need to start issuing aggregated costs statement in Q1, 2019.