Changes to Directory Feedback
The way firms receive Directory feedback has changed.
FCA
Saving clients from scams
You suspect a client is being scammed - what do you do?
Delay to SM&CR dates confirmed
The FCA has confirmed that the deadline for first certification has been deferred.
Disclosure is dead, long live disclosure!
A sea change of focus hidden in a subtle change of terminology.
SM&CR indicators
Will you be ready for the SM&CR review when it comes?
Guidance – Fair Treatment of Vulnerable Customers
The FCA has issued a second guidance consultation relating to vulnerable customers.
Obligation to provide a suitability report to non-UK residents
Do you have to provide a suitability report for clients that are not UK citizens?
PS20/06 – part five: and finally!
In this final article of the series, we cover the remaining items from PS20/06.
Evolution of the FCA’s view of suitability
How the FCA's assessments of suitability have developed.
Policy Statement PS 20/06
On 5 June, the FCA published the long awaited policy statement following its consultation from 2019, CP 19/25. The policy […]