Conflicts of interest
MiFIDII set even higher requirements around managing conflicts of interest.
FCA
FCA announces details of the ‘Directory’
The Directory is intended to make it easier for the public to get information about firms and individuals.
Latest FCA Policy Statement on BREXIT
As we move close to the date of leaving the EU, it will pay to be aware of relevant FCA […]
Ex-Post costs and charges statements due soon!
The first statements must be issued by the end of March 2019.
FCA BREXIT EVENTS
Find out more about how to prepare for BREXIT.
SM&CR Video
The FCA has published a video on SM&CR that you might find of interest.
Pension transfers – Triage and assessing Transfer Risk
The FCA has issued new rules and guidance on these topics. Firms providing advice on pension transfers should read more.
FCA to review the impact of RDR and FAMR
See what we think might be covered.
Compliance Oversight (CF10) Obligations and Accountabilities
Obligations and Accountabilities
FCA priorities for 2019
See what the FCA is working on.