MiFID II – Disclosure article 1
MiFID II has an impact of disclosure requirements.
FCA
Insurance Distribution Directive (IDD)
The IMD is being replaced with the IDD!
Money Laundering Update
An update to the Treasury view on money laundering.
Appointed Representatives and Introducers
This FCA alert is of relevance to all Principal and Appointed Representative firms.
Senior Managers Regime
This will be extended to all firms during 2018 and has some significant impacts.
Defined Benefit Transfers: Standards of Advice
Recently published FCA findings on suitability of transfer advice.
Transfer Advice – Partial Transfers
Taking a partial transfers could be a suitable option for many clients.
Recording telephone conversations
The FCA has published its policy on recording telephone calls.
Compliance Officer Liabilities
Compliance Officers can be held personally liable for compliance failings. Read how to avoid this situation arising.
Legal Entity Identifiers
Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.