FCA Consumer Duty preparedness survey
The FCA has announced that it is conducting a Consumer Duty preparedness survey. The survey is being sent
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Data Protection Act
Data protection – ICO mailing campaign
One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is
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Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
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Data Protection – post BREXIT update
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s
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2021 New Year reminders!
It is 2021 and changes are afoot ...
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Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
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EU withdrawal – end of transition
Only a few weeks to go. Are you ready?
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US Privacy Shield does not protect privacy – ECJ
The EU/US Privacy Shield agreement has been struck down by the ECJ.
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Outsourcing to cloud and other IT service providers
Existing FCA guidance continues to apply rather than new EU guidelines.
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Data protection for joint parties
Take care not to be caught out if the client provides details of another person.
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