Execution only and non-advised business
Both of these carry risks for firms. It is essential to understand the regulatory position.
MiFID
Ongoing reviews and value for money
How can firms ensure clients get value for money in annual reviews?
New Periodic Suitability Review Letter/Report Template
New Periodic Suitability Review Template
Agent as client – a risky operating model?
The hidden risks of using a DFM solution.
FCA focus for 2019/20
The FCA has given a clear idea of where it will focus attention in the coming year.
FCA Business Plan 2019-20
The FCA has announced its priorities for action over the coming months.
2019/20 Tax Year Changes & April 2019 Update
New Aggregated Costs and Charges Template / Extended Intelligent Office Integration
Conflicts of interest
MiFIDII set even higher requirements around managing conflicts of interest.
Ex-Post costs and charges statements due soon!
The first statements must be issued by the end of March 2019.
FCA to review the impact of RDR and FAMR
See what we think might be covered.