2021 New Year reminders!
It is 2021 and changes are afoot ...
FCA
FCA Covid-19 Impact Survey
The FCA has asked us to inform all our client firms about the upcoming Covid-19 survey. See below. “Many of […]
RegData migration reminder
The migraton of firms from Gabriel to RegData continues.
FSCS protection post BREXIT transition
Are you aware of the changes to consumer protection?
FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers
New rules for firms in relation to NMPIs, SISs or mini bonds.
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
FCA Systems Outage
Dates to note.
Pension transfers – scheme information
Scheme data templates are available to make the process of obtaining scheme and member information more efficient.
FCA reminder of SMCR Implementation
Firms are reminded of the requirements and deadlines for implementing the SM&CR.
Claims Management Portfolio Letter
FCA expectations of all firms involved in claims management, including advisers wanting to help their own clients to pursue a […]