GI and mortgage intermediary firms – PII cover and pandemic exclusions
The significant increase in PII costs for firms providing investment advice in recent years and the difficulties for firms doing
Mortgage
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
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
Upgraded Costs and Charges Statement Template & Much More
Upgraded Costs and Charges Statement & Much More
Portfolio letter to Mortgage Intermediaries
The FCA has written to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.
FCA Covid-19 Impact Survey
The FCA is issuing a mandatory survey to firms over the next couple of weeks.
The importance of ‘knowledge and experience’
How do you assess and take account of the client's knowledge and experience?
Abridged Advice Report Template Tweaks & New Provider Text
Abridged Advice Report Tweaks & New Provider Text
EU Withdrawal – Transitional period for new rules
The FCA has published rules that will apply following the end of the EU Withdarawal Transition in December 2020.
Pension Transfers – need to consider a workplace pension
Firms providing pension transfer advice must consider an available workplace pension as a destination for any transfer.