FCA survey – Credit broking
The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the
PI
DP 21/1 – strengthening financial promotion rules for high-risk investments
The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions.
FG 21/3 – Pre-transfer advice information for clients
This fourth in a series of articles on FG 21/3 takes a closer look at the guidance around pre-advice information
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable
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
Changes to DB Transfer redress calculations – an update
We wrote about the background to updated redress guidance following the Chancellor’s announcement of changes to the way that the
FCA whistleblowing campaign
The FCA has launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage individuals working in financial services firms to report potential
A closer look at FG 21/3 – finalised guidance on transfers
In our recent article giving an overview of Finalised Guidance (FG 21/3), we indicated that we would pick out a
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
Data Protection – post BREXIT update
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s