Thematic Review – GI Distribution
The FCA warns GI firms to place greater focus on customer outcomes.
FCA
Is your email footer compliant?
Many are not ...
Supervisor training 2019
Details of next scheduled event.
Principals and Appointed Representatives – action needed
Following recent FCA investigations that resulted in a Dear CEO letter, firms that have Appointed Representatives need to review the […]
FCA live events
These could be of interest.
Dealing with Powers of Attorney
The Office of the Public Guardian has produced a helpful guide for firms in how to deal with customers where […]
FCA Business Plan 2019-20
The FCA has announced its priorities for action over the coming months.
Vertical Integration – the new era of distribution?
This business model offers cost and profitability benefits for firms ... but there are risks.
Investment Platforms Market Study
The FCA has reported its conclusions on the Platform market ahead of a Consultation Paper.
FCA Press Release – SM&CR
The FCA has issued a press release urging firms to start preparation for the SM&CR which applies to all FCA […]