Finalised Guidance: Inducements & Conflicts of Interest
The FCA’s finalised guidance (FG14-01) sets clear parameters.
FCA
Positive Compliance: Episode Three
This is the third in our series of Positive Compliance news articles and focusses on the important topic of Income […]
Positive Compliance: Episode Two
This is the second in our series of Positive Compliance news articles and focusses on the important topic of Pension […]
Positive Compliance: Episode One
This is the first in a series of news articles that summarises feedback from the FCA's Positive Compliance workshops.
CCL Fees – An Update
The FCA has listened to industry feedback and has reduced the CCL licence fee for small firms.
MMR Readiness Tracking Survey 2
The FCA has issued its second Mortgage Market Review Readiness Tracking Survey
Financial Promotions – FCA Issues Warnings
The FCA is stepping up its scrutiny on financial promotions by actively monitoring promotions and issuing warnings to firms that […]
Professional Indemnity Insurance – Excesses and Exclusions
If your PI policy has non-compliant excess or exclusions written into it, you will need to hold additional capital reserves.
Consumer Credit Proposals
The FCA have been running CCL roadshows and there are some important issues arising that may affect you if you […]
Risk Mapping
This is an area that causes the FCA concern. How do you ascertain that your Attitude to Risk grading is […]