Publication of the FCA’s Business Plan for 2021/22 was delayed from its usual spot in April, finally appearing at the
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
From 1 June 2021, the FCA will no longer be accepting Change of Legal Status applications. Instead, if you are
The FCA has made the following announcement about the FOS award limit. “When we increased the Financial Ombudsman Service’s award
The significant increase in PII costs for firms providing investment advice in recent years and the difficulties for firms doing
FCA redress guidance has been updated as at March 2021 – this article explains the background as at the date
In December 2020, we reminded readers about the expected changes to FSCS protection after the EU withdrawal period ended on
Yet another switch has been found wanting at the FOS.
How to avoid some of the commonly found issues with Suitability Reports.
You are probably familiar with the concept of a target market under PROD rules. What about the negative target market?