The FCA has criticised complaints handling in some GI firms.
Changes to FOS, FSCS and RMAR effective from 1 April – read on!
MiFIDII set even higher requirements around managing conflicts of interest.
Obligations and Accountabilities
Many DFM/Adviser relationships are based on the agent as client model. This carries hidden dangers.
Firms that advise on defined benefit transfers need to ensure that their triage process does not inadvertently cross the line
How will changes to compliance governance affect your company?
How will changes to complaint handling rules affect your company?
The ATEB MiFID II guide.
The IMD is being replaced with the IDD!