DP 21/1 – strengthening financial promotion rules for high-risk investments
The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions. […]
FCA
Financial Resilience Survey – General Insurance
The FCA Financial Resilience team has clarified the intention behind the data requested in their survey in relation to Question […]
FCA Covid-19 survey to be repeated
We have been advised by the FCA that they intend to issue yet another Covid-19 survey shortly. This is the […]
PS 21/4 – Extension of Annual Financial Crime Reporting
The FCA has confirmed in PS21/4 that it is proceeding with its previously stated intention to extend the requirement to […]
FG 21/3 – Pre-transfer advice information for clients
This fourth in a series of articles on FG 21/3 takes a closer look at the guidance around pre-advice information […]
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable […]
FG 21/3 – client objectives
Following on from our previous articles on FG21/3, we will look today at another of the interesting areas covered by […]
STOP PRESS: Directory Persons Information
We have received the following from the FCA. ATEB can help firms get over the line – call +44 (0) […]
Changes to DB Transfer redress calculations – an update
We wrote about the background to updated redress guidance following the Chancellor’s announcement of changes to the way that the […]
Recommending a ‘do not transfer’
Here is a question. If a client is being recommended NOT to transfer, do you still need to identify a […]