FCA Covid-19 Impact Survey
We have received the information below from the FCA. “Many of you will be aware that we issued […]
FCA
IFPR and Remuneration Policy
The new UK Investment Firms Prudential Regime (“IFPR”) came into force on 1 January 2022 and applies to UK investment […]
IFPR – are you ready?
The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”. […]
Advising non-UK clients
Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are […]
DP 21/5 – Compensation Framework Review
The Financial Services Compensation Scheme (FSCS) is the UK’s statutory ‘fund of last resort’ for customers of authorised financial services […]
CP 21/34 – Improving the Appointed Representatives regime
The FCA has launched a consultation (CP21/34 ) which is intended to improve the appointed representatives regime and tackling harm […]
FCA consults on new fees for 2022/23
The FCA has published a consultation paper on proposed policy changes to the way its fees will be calculated from […]
Pension transfers – considering life cover
We have seen a very large number of pension transfer suitability reports since the introduction of the pension freedoms that […]
Conduct Rules Breaches – follow up
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended […]
New anti-scam rules for scheme trustees
The rights of pension scheme members to transfer, that were established in the Pensions Act 2015 are no longer absolute […]