FCA Positive Compliance – Investments
One of a series of roadshows the FCA is running around the country, this session offered some new insights into […]
FCA
Important Changes to Capital Adequacy – A Reminder
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
ATEB suitability Upgrade
More Choice - More Flexibility - More Relevance
Inducements and conflicts of interest
The FCA reminds firms of their expectations in relation to conflicts of interest.
Pensions reforms – new advice rules
New rules around pension advice came into effect on 25 Aprill 2016. See here for details.
New regulated activity – advising on P2P agreements
What you need to know about this new regulatory activity.
Are you ready for the recording rules?
Client conversations might need to be recorded from January 2018. Are you ready?
Suitability – Thematic Review
700 firms to participate in this thematic review. Read this for details.
Reporting complaints upheld against an adviser
A timely reminder of when you need to notify the FCA.
FCA priorities 2016-17
The FCA's latest business plan indicates where their focus will be. Read this to understand how some of these affect […]