IFPR – are you ready?
The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”. […]
MiFID
Advising non-UK clients
Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are […]
Managing conflicts of interest
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
Implementation of Investment Firms Prudential Regime
The FCA has published policy statement PS21/6 – Implementation of Investment Firms Prudential Regime (IFPRU). The policy statement […]
Upgraded Periodic Review Template with Costs and Charges Statement + Much More
We completed the latest upgrade to ATEB Suitability on 6th April 2021. This update comes at no additional cost and […]
Advanced Notice of Scheduled Maintenance
In readiness for the release of a host of new features, we’re writing to inform you about a scheduled maintenance […]
10% depreciation reporting to be reviewed
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in […]
Should clients take Abridged Advice?
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should […]
What’s up with WhatsApp?
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and […]