FCA confirms measures to help insurance customers who may be suffering financial difficulties as a result of coronavirus 14 May 2020 Alistair MacDougallCompliance A series of temporary measures come into effect on Monday, 18 May 2020. Read More
FCA extend SMCR period of absence 13 May 2020 Alistair MacDougallCompliance The FCA has made a temporary modification to the rules around providing cover for an absent Senior Manager. Read More
Handling complaints during the COVID-19 emergency 12 May 2020 Alistair MacDougallCompliance The FCA is aware that, as a result of the current health emergency, many firms are facing challenges in maintaining […] Read More
Handling complaints during the COVID-19 emergency 6 May 2020 Alistair MacDougallCompliance The FCA has outlined its expectations of firms in relation to complaints handling. Read More
Market downturn – communicating with clients 29 April 2020 Alistair MacDougallCompliance What should you tell clients about their investments in the current emergency? Read More
Schemes to issue transfer warning 29 April 2020 Alistair MacDougallCompliance The Pensions Regulator has issued new guidance to schemes. Read More
COVID-19 and vulnerable customers 28 April 2020 Alistair MacDougallCompliance Some readers might remember that the FCA issued a guidance consultation paper in July 2019, GC19/3 – Guidance for firms on […] Read More
FCA Business Plan – 2020/21 22 April 2020 Alistair MacDougallCompliance The FCA has published its Business Plan for 2020/21. Read More
Pensions and Retirement Income – FCA COVID-19 guidance 15 April 2020 Alistair MacDougallCompliance FCA guidance for pension providers and DB transfer advisers. Read More
Working from Home – Data Protection and Security 15 April 2020 Alistair MacDougallCompliance Many people are currently working from home. What are the implications for data security? Read More