FCA Covid-19 Impact Survey
The FCA has asked us to inform all our client firms about the upcoming Covid-19 survey. See below. "Many of
Mortgage
Is your website compliant?
Many of the FCA rules around firms' websites are those related to financial promotions. Not every website is a financial
Upgraded Costs and Charges Statement Template & Much More
We completed the latest upgrade to ATEB Suitability on 29th November 2020. Following the recent release of our new Xplan
Portfolio letter to Mortgage Intermediaries
The FCA has issued a Portfolio Letter to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.
FCA Covid-19 Impact Survey
The FCA has asked us to inform all our client firms about the upcoming Covid-19 survey. See below. "Many of
The importance of ‘knowledge and experience’
It has long been a requirement to assess a client's 'risk profile'. In practice, the rules break this down into
Abridged Advice Report Template Tweaks & New Provider Text
We completed the latest upgrade to ATEB Suitability on 11th October 2020. Following initial client feedback we have made a
EU Withdrawal – Transitional period for new rules
EU Withdrawal - transition period for new FCA rules to applyThe FCA has published an updated version of the FCA
Pension Transfers – need to consider a workplace pension
The rules applicable from 1 October 2020 require that advisers must consider using any available workplace pension as the destination
Professional Indemnity Insurance
BackgroundIn January 2020, the FCA wrote a Dear CEO letter which outlined Professional Indemnity (PI) Insurance as one of their