Extension of implementation period for SM&CR
The date for certifying staff has been deferred in light of the current health emergency.
FCA
PS20/06 – part one: ban on contingent charging
The first of four articles explaining the implementation and implications of Policy Statement PS20/06.
DB Transfers – FCA data request
The FCA is issuing a further data request to firms in the DB transfer market.
Consideration of life cover options when advising on transfers
Transfers and death benefits: considering life cover as more than lip service.
RegData – Gabriel replacement
The FCA is now preparing to gradually move firms across to RegData, the new data collection platform, which replaces Gabriel.
ESG investing – new rules coming along soon
New rules around ESG investing are expected in 2021. Firms should start preparations sooner than later.
FCA framework for firms on assessing adequate financial resources
The FCA has published finalised guidance on its framework to help financial services firms ensure they have adequate financial resources and take […]
Policy Statement PS 20/06
This paper announced a number of significant changes to the rules around transfer advice.
FCA framework for firms on assessing adequate financial resources
The FCA has published final guidance on a framework to help financial services firms ensure they have adequate financial resources […]
Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during […]