FCA Consumer Duty preparedness survey
The FCA has announced that it is conducting a Consumer Duty preparedness survey. The survey is being sent […]
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 […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
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 […]
2021 New Year reminders!
It is 2021 and changes are afoot ...
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
EU withdrawal – end of transition
Only a few weeks to go. Are you ready?
US Privacy Shield does not protect privacy – ECJ
The EU/US Privacy Shield agreement has been struck down by the ECJ.
Outsourcing to cloud and other IT service providers
Existing FCA guidance continues to apply rather than new EU guidelines.
Data protection for joint parties
Take care not to be caught out if the client provides details of another person.
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