In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and
Read more
We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules
Read more
The FCA has been busy. Monday saw the publication of three FCA publications on Consumer Investments. A Consumer Investments
Read more
It is 2021 and, although the lockdown might give readers a sense of deja vu, there are some changes to
Read more
The FCA has asked us to inform all our client firms about the upcoming Covid-19 survey. See below. "Many of
Read more
History tells us that, in the months and years following a pandemic, innovation thrives, politically, scientifically and economically. Pandemics are
Read more
You may have seen some coverage in the trade press over the past year or so about changes to FSCS
Read more
The FCA has confirmed their final rules to permanently ban the mass-marketing of speculative illiquid securities (SIS), including speculative mini-bonds,
Read more
Many of the FCA rules around firms' websites are those related to financial promotions. Not every website is a financial
Read more
We have received the following update from the FCA; As communicated on 26 October, we will incrementally publish Directory Persons
Read more