MiFID

Reviews. What do yours look like?

17 January 2024 Paul JayCompliance

Review. It’s a simple word, but depending upon who you speak to, it can have several meanings. There are

18 October 2023 Paul JayCompliance,Suitability

If you ask most advice firms which part of the advice process consumes the most time, most will reply: “Suitability

24 May 2023 Paul JayCompliance

A high proportion of advice firms operate a largely recurring income model and with this comes the obligation to conduct

10 May 2023 Paul JayCompliance

Nothing major, but take note. The FCA has announced that it will be replacing the Financial Resilience Survey

22 February 2023 Paul JayCompliance

Many firms are now operating their own preferred investment solution – a Centralised Investment Proposition (CIP) – which they seemingly

2 February 2023 Paul JayCompliance

What do you do? Your client has inherited some (insert company name) shares and she asks you, as her trusted

15 December 2022 Paul JayCompliance

As part of the Government’s reforms of previous EU legislation, next on the list is the proposal to scrap the

14 August 2022 David AndersonSuitability

We have completed the latest upgrade to ATEB Suitability on 14th August 2022. This update comes at no additional cost

3 May 2022 Alistair MacDougallCompliance

We have covered regulatory requirements around replacement business, more commonly referred to as switch business, before. As this appears to

4 January 2022 Paul CaineCompliance

The new UK Investment Firms Prudential Regime (“IFPR”) came into force on 1 January 2022 and applies to UK investment

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