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
2020
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
Changes to DB Transfer redress calculations
FCA redress guidance has been updated as at March 2021 – this article explains the background as at the date
Financial protection post-BREXIT
In December 2020, we reminded readers about the expected changes to FSCS protection after the EU withdrawal period ended on
FCA Defined Benefit Advice Assessment Tool (DBAAT)
You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is
The Final Countdown to Senior Managers and Certificate Regime (SM&CR)
March is almost here and Spring is in the air. So probably the last thing you are thinking about is
Making platform transfers simpler
Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were
Passporting
Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from
FCA publications on Consumer Investments
The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to
FCA – Update on SMR and CF (AR) applications
Approvals are currently taking longer than normal.