One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is
Data Protection Act
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s
It is 2021 and changes are afoot ...
Most adviser websites are financial promotions. Is yours compliant?
Only a few weeks to go. Are you ready?
The EU/US Privacy Shield agreement has been struck down by the ECJ.
Existing FCA guidance continues to apply rather than new EU guidelines.
Take care not to be caught out if the client provides details of another person.
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during