This will be extended to all firms during 2018 and has some significant impacts.
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Recently published FCA findings on suitability of transfer advice.
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Taking a partial transfers could be a suitable option for many clients.
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The FCA has published its policy on recording telephone calls.
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FCA consults on new rules for insistent clients. Read here for more detail.
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Compliance Officers can be held personally liable for compliance failings. Read how to avoid this situation arising.
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Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.
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Updated Money Laundering regulations now in force
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The FCA has made some minor changes to the TC Rulebook.
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Finalised guidance around automatic capitalisation of mortgage arrears.
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