Changes to FOS, FSCS and RMAR Fee Data
Changes to FOS, FSCS and RMAR effective from 1 April – read on!
FOS
Pension Switch Issues
A recent FOS decision confirms regulatory and good practice requirements in relation to Pension Switches.
MiFID II – complaints handling rules
How will changes to complaint handling rules affect your company?
Unauthorised introducers
There has been a proliferation of cases where advisers have advised clients gained via unauthorised introducers, with disastrous outcomes for […]
Changes to Complaints Handling Rules Effective 30/06/2016
The 1 day rule is now 3 days ..... and you need to write to the client ..... and you […]
FCA Positive Compliance – Mortgage Session
“The advice process: building a solid base.” A summary of the FCA mortgage roadshow.
Financial Advice Market Review
Overview and comment on the FAMR.
Alternative Dispute Resolution (ADR)
Changes to complaints rules from 9th July 2015
Capital Resource Requirements for Personal Investment Firms
After much deliberation and mind changing, it looks like new requirements are finally set to be implemented
FCA Proposes Changes to Complaints Handling Rules
The way you handle and report complaints is likely to change.