SM&CR – Notifying changes to the management body
Firms are required to notify the FCA of changes to the management body.
FCA
ESG investing
The profile of ESG investments has increased significantly in recent months. Firms need to be consider how those fit into […]
Dear CEO – 2020
The FCA has been busy writing letters in 2020, and it's still only February.
Non-financial misconduct
The FCA has issued a Dear CEO letter to wholesale general insurance firms concerning non-financial misconduct. This has potential implications […]
Mortgage advice and selling standards (Policy Statement 20/1)
New rules around mortgage advice apply from 31 January 2020.
Pension switches (and other replacement business)
Is your pension switch advice suitable?
Invisible advisers
Advisers no longer appear on the FS Register. What are the implications?
Fifth Money Laundering Directive (5MLD)
Changes are effective from 10 January 2020. Make sure you are implementing the rules as required.
Approving Financial Promotions
The FCA has issued a Dear CEO letter with further guidance regarding the approval of financial promotions.
What’s on the horizon for 2020?
See what 2020 has in store.