FCA whistleblowing campaign
The FCA has launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage individuals working in financial services firms to report potential […]
FCA
A closer look at FG 21/3 – finalised guidance on transfers
In our recent article giving an overview of Finalised Guidance (FG 21/3), we indicated that we would pick out a […]
New FCA online invoicing portal goes live
Further to our recent article regarding the FCA’s plans to launch a new online invoicing portal, the FCA has confirmed […]
Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC […]
FCA COVID SURVEY – PART 4
The FCA has advised the following: “Many of you will be aware that we issued the first phase of the […]
Considering a workplace pension in a pension transfer recommendation
Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS) […]
Directory Persons: data submission deadline
The FCA has advised as follows. “As you will be aware, all firms with Directory Persons must have certified / […]
FOS award limit to remain unchanged
The FCA has made the following announcement about the FOS award limit. “When we increased the Financial Ombudsman Service’s award […]
10% depreciation reporting to be reviewed
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in […]
Vulnerable clients – FCA finalised guidance
In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching […]