Implementation of Investment Firms Prudential Regime
The FCA has published policy statement PS21/6 – Implementation of Investment Firms Prudential Regime (IFPRU). The policy statement
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Back to basics
It will be a surprise to few in our industry that those firms involved in defined benefit pension transfer business
Extension of Annual Financial Crime Reporting Obligations
Policy Statement PS21/4 summarises the FCA’s proposals to increase the number of firms (by circa 4500) who need to submit
FG 21/3 – client objectives
Following on from our previous articles on FG21/3, we will look today at another of the interesting areas covered by
Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC
SM&CR and coronavirus: FCA expectations for solo-regulated firms – December 2020 update
Updates to be aware of ...
Saving clients from scams
You suspect a client is being scammed - what do you do?
New Content Integrations from Leading Third-Parties and much more
New Content Integrations from Leading Third-Parties and Much More
Data protection for joint parties
Take care not to be caught out if the client provides details of another person.
Launching 3 new Content Management Features (Providers, Investments & Custom Appendices)
The one with Providers, Investments & Custom Appendices