Managing drawdown
In recent months, firms have been asking us about the process for managing drawdown plans. What do the rules require?
FOS
Cryptocurrency prohibition
It is likely that all our readers have heard of cryptocurrency, probably in the guise of Bitcoin. This cryptocurrency and
FOS award limit to remain unchanged
The FCA has made the following announcement about the FOS award limit. “When we increased the Financial Ombudsman Service’s award
Financial protection post-BREXIT
In December 2020, we reminded readers about the expected changes to FSCS protection after the EU withdrawal period ended on
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
Saving clients from scams
You suspect a client is being scammed - what do you do?
Another pension switch bites the dust
Yet another switch has been found wanting at the FOS.
Complaints considered by a court
Can the FOS consider complaints after they have been through the legal system?
Complaints return – a reminder
A brief reminder for firms about the FCA’s RIA complaint notification requirements.
Professional Indemnity Insurance
A reminder that firms having adequate PI cover is an area of focus for the FCA.