Pension switches – what is required?
We have covered regulatory requirements around replacement business, more commonly referred to as switch business, before. As this appears to
2021
Consumer Duty – fair value and adviser charges
The FCA’s proposed Consumer Duty is getting a lot of airplay in the trade media. First mooted in the FCA’s
FCA data – tackling harm to consumers
The FCA has published the latest data on its work to tackle harm in the consumer investments market between April
Awareness of the new FCA rule changes of sustainability
You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability.
How accurate is the data your firm submits to the FCA?
The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges.
Platform switching – is a suitability report required?
Platforms play a big part in the investment process of most UK firms. According to Defaqto, 94% of advisers place
Strengthening Financial Promotions Rules
The riveting read that is the FCA’s 2021/22 Business Plan sets out their consumer priorities for the year ahead. One of these
FCA fee changes
The FCA has advised upcoming changes to authorisation application fees as follows: “On 24 January we’ll be simplifying
IFPR – are you ready?
The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”.
FCA consults on new fees for 2022/23
The FCA has published a consultation paper on proposed policy changes to the way its fees will be calculated from