What’s up with WhatsApp?
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and
PI
Investment pathways go live
We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules
FCA publications on Consumer Investments
The FCA has been busy. Monday saw the publication of three FCA publications on Consumer Investments. A Consumer Investments
2021 New Year reminders!
It is 2021 and, although the lockdown might give readers a sense of deja vu, there are some changes to
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
A peek into the future
History tells us that, in the months and years following a pandemic, innovation thrives, politically, scientifically and economically. Pandemics are
FSCS protection post BREXIT transition
You may have seen some coverage in the trade press over the past year or so about changes to FSCS
FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers
The FCA has confirmed their final rules to permanently ban the mass-marketing of speculative illiquid securities (SIS), including speculative mini-bonds,
Is your website compliant?
Many of the FCA rules around firms' websites are those related to financial promotions. Not every website is a financial
FCA Systems Outage
We have received the following update from the FCA; As communicated on 26 October, we will incrementally publish Directory Persons