How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that
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What should you tell clients about their investments in the current emergency?
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A timely reminder of the need for advice to be documented comprehensively.
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On 1 April 2019, the FCA increased the Financial Ombudsman Service’s award limit from £150,000 to £350,000. This applies to
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Changes to Complaints leaflet and impact of COVID-19 on response times.
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1 April 2020 - FOS awards limits changes.
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Is your pension switch advice suitable?
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The FCA has stated its position on phoenixing type practices.
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Both of these carry risks for firms. It is essential to understand the regulatory position.
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How can firms ensure clients get value for money in annual reviews?
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