SM&CR and coronavirus: FCA expectations for solo-regulated firms – December 2020 update
In April 2020, the FCA set out their expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising
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Saving clients from scams
Scams are a scourge of the modern age. Of course, scammers and scams have probably existed for as long as
New Content Integrations from Leading Third-Parties and much more
We completed the latest upgrade to ATEB suitability on 12th July 2020. This is another significant update to our software
Data protection for joint parties
The Data Protection Act 2018 (DPA 2018) requires anyone 'processing' personal data to have a lawful basis for doing so.
Launching 3 new Content Management Features (Providers, Investments & Custom Appendices)
We have completed the latest upgrade to ATEB suitability on 5th April 2020. This is a significant update to our
Fifth Money Laundering Directive (5MLD)
Today's the day ... In June 2019 we published an article summarising key points relating to the 5 MLD Transposition
5MLD – the Trust Registration Service scope widens
The new rules, transposing the Fifth Money Laundering Directive (5MLD) into UK law took effect on 10 January 2020. You
What’s on the horizon for 2020?
What’s in store for firms in 2020? In our first newsletter of 2020, we mentioned that pace of regulatory changes
Pension Transfers – FCA letter to firms
In a recent article, we described the letter that the FCA is sending to firms that have been involved in
Capacity for Loss – so misunderstood!
Capacity for Loss - so misunderstood! We have written about Capacity for Loss (CFL) before, so we were interested when,