Ukraine – 10% drop reporting
The current hostilities in Ukraine have caused significant market drops and may continue to do so. Accordingly, a reminder about […]
FCA
Platform switching – is a suitability report required?
Platforms play a big part in the investment process of most UK firms. According to Defaqto, 94% of advisers place […]
Is now a good time?
The tentative question posed in the heading to this article refers to the vagueness of the rules around when disclosure […]
Discounting advice options
A question that pops up from time to time is whether there is a need to discount potential options that […]
FCA provide guidance on SMF16/17 appointments
Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and capable of effectively […]
SM&CR regulatory references
Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the […]
Strengthening Financial Promotions Rules
The riveting read that is the FCA’s 2021/22 Business Plan sets out their consumer priorities for the year ahead. One of these […]
FCA COVID survey – tranche 2 dates
We have received details of the latest COVID survey from the FCA. See below for Tranche 2 dates. […]
General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation
The FCA is requesting that firms who have general insurance permissions (and premium finance providers), complete an online survey in […]
FCA fee changes
The FCA has advised upcoming changes to authorisation application fees as follows: “On 24 January we’ll be simplifying […]