Should clients take Abridged Advice?
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should […]
FCA
Passporting
Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from […]
Scam emails
We have recently been made aware of scam emails appearing to request firms to provide information via RegData, which the […]
What’s up with WhatsApp?
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and […]
FCA publications on Consumer Investments
The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to […]
FCA – Update on SMR and CF (AR) applications
Approvals are currently taking longer than normal.
FCA – Certification Regime considerations for all firms – Annual Certification
Make sure you meet the SM&CR deadlines.
Third FCA COVID survey imminent
For information.
SM&CR and coronavirus: FCA expectations for solo-regulated firms – December 2020 update
Updates to be aware of ...
Approved Persons Regime (APR) and coronavirus: FCA’s December 2020 update
Coronavirus updates to be aware of ...