Only a few weeks to go. Are you ready?
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Do firms need to disclose trail commmission on pre-RDR legacy products?
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The FCA has published rules that will apply following the end of the EU Withdarawal Transition in December 2020.
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You are probably familiar with the concept of a target market under PROD rules. What about the negative target market?
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New rules around ESG investing are expected in 2021. Firms should start preparations sooner than later.
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We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during
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How is client audio considered for the purposes of data protection?
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The FCA has issued a statement in respect of firms' call recording obligations during the COVID-19 emergency.
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Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.
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What needs to be considered when buying or selling an adviser firm?
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