Thematic Review – GI Distribution
The FCA warns GI firms to place greater focus on customer outcomes.
complaints
General Insurance – Complaints Handling
The FCA has criticised complaints handling in some GI firms.
Changes to FOS, FSCS and RMAR Fee Data
Changes to FOS, FSCS and RMAR effective from 1 April – read on!
Conflicts of interest
MiFIDII set even higher requirements around managing conflicts of interest.
Compliance Oversight (CF10) Obligations and Accountabilities
Obligations and Accountabilities
Agent as client
Many DFM/Adviser relationships are based on the agent as client model. This carries hidden dangers.
Transfer triage
Firms that advise on defined benefit transfers need to ensure that their triage process does not inadvertently cross the line […]
MiFID ll – Compliance Function Enhancements
How will changes to compliance governance affect your company?
MiFID II – complaints handling rules
How will changes to complaint handling rules affect your company?
MiFID II – are you ready?
The ATEB MiFID II guide.