Acquiring or selling a business
What needs to be considered when buying or selling an adviser firm?
FCA
FCA extend SMCR period of absence
The FCA has made a temporary modification to the rules around providing cover for an absent Senior Manager.
Handling complaints during the COVID-19 emergency
The FCA is aware that, as a result of the current health emergency, many firms are facing challenges in maintaining […]
If it’s not written down, it doesn’t exist
How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that […]
Handling complaints during the COVID-19 emergency
The FCA has outlined its expectations of firms in relation to complaints handling.
Schemes to issue transfer warning
The Pensions Regulator has issued new guidance to schemes.
If it’s not written down, it doesn’t exist
A timely reminder of the need for advice to be documented comprehensively.
SM&CR training
During a recent workshop, the FCA commented on SM&CR training. They do not believe that some e-learning or short generic […]
FOS limit changes
On 1 April 2019, the FCA increased the Financial Ombudsman Service’s award limit from £150,000 to £350,000. This applies to […]
COVID-19 and vulnerable customers
Some readers might remember that the FCA issued a guidance consultation paper in July 2019, GC19/3 – Guidance for firms on […]