Managing conflicts of interest
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself […]
FCA
Pension transfer advice – assessing transfer risk
It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have […]
DB Pension Transfers – some charging issues
The rules that came into effect in October 2020 arrived under a headline objective of ‘banning contingent charging’. Inevitably, the […]
Anti Money Laundering Review …… Dear CEO – Banking Sector
The Financial Conduct Authority (FCA), in May 2021, issued a Dear CEO letter entitled “Action needed in response to common […]
FCA survey – reply dates extended
We wrote with details of the latest FCA survey. You can read those details here. The FCA has now extended […]
Sustainable investing – a wild frontier?
We have written before about ‘ethical’ or ‘sustainable’ investing, most recently here, in recognition of the increasing presence of and […]
Pension transfer advice – personalised charges
“I’ve started so I’ll finish …”. A well known catchphrase first coined by Magnus Magnusson, the original presenter of the […]
FCA Covid-19 Survey #5
The FCA has advised; Many of you will be aware that we issued the first phase of the Covid-19 Impact […]
FCA videos – Financial Promotions and Consumer Vulnerability
Financial Promotions Case Studies The FCA has produced two short videos of the various products it regulates, and the common […]
GI – Pricing Practices Survey
The FCA will shortly be asking a sample of Insurers, Price Comparison Websites and Insurance Intermediaries to complete a short […]