MiFID II – Independence article 2
MiFID II brings a new definition of independence - firms need to consider if they can meet the requirements.
ML
Money Laundering Update
An update to the Treasury view on money laundering.
Money Laundering Regulations 2017
Updated Money Laundering regulations now in force
Implementing the FAMR – consultation paper
The FCA is pushing ahead with implementation of the FAMR. The latest consultation paper explains what is happening.
Pension Switches – a timely reminder
The regulator first published guidance on pension switching advice in 2009. It still applies yet firms do not always meet […]
RMAR – some useful reminders
Are you completing your RMAR correctly?
Financial Advice Market Review
Overview and comment on the FAMR.
Money Advice Service Retirement Advisor Directory
Find out more about the MAS on-line ‘Retirement Adviser Directory’
Disadvantages
Why highlighting the negative is positive!
MMR Intermediary Workshops
We have summarised the key points from recent FCA MMR Intermediary Workshops in this news article. There are some interesting […]