EU withdrawal – end of transition
Only a few weeks to go. Are you ready?
MiFID
Aggregated costs and legacy trail commission
Do firms need to disclose trail commmission on pre-RDR legacy products?
EU Withdrawal – Transitional period for new rules
The FCA has published rules that will apply following the end of the EU Withdarawal Transition in December 2020.
PROD – negative target market
You are probably familiar with the concept of a target market under PROD rules. What about the negative target market?
ESG investing – new rules coming along soon
New rules around ESG investing are expected in 2021. Firms should start preparations sooner than later.
Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during […]
Recording calls and meetings
How is client audio considered for the purposes of data protection?
Call recording issues
The FCA has issued a statement in respect of firms' call recording obligations during the COVID-19 emergency.
Clients – according to PROD
Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.
Acquiring or selling a business
What needs to be considered when buying or selling an adviser firm?