There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
The FCA has published policy statement PS21/6 – Implementation of Investment Firms Prudential Regime (IFPRU). The policy statement
We completed the latest upgrade to ATEB Suitability on 6th April 2021. This update comes at no additional cost and
In readiness for the release of a host of new features, we’re writing to inform you about a scheduled maintenance
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and
Only a few weeks to go. Are you ready?
Do firms need to disclose trail commmission on pre-RDR legacy products?