DB Advice – CPD correction
FT Adviser published an article on 21 September under the heading ‘How to advise on DB transfers’. We would like […]
PI
Data protection – ICO mailing campaign
One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is […]
FCA Business Plan – 2021/22
Publication of the FCA’s Business Plan for 2021/22 was delayed from its usual spot in April, finally appearing at the […]
Trust Registration Service – update
New rules, transposing the Fifth Money Laundering Directive (5MLD) into UK law took effect on 10 January 2020. One impact […]
The Avacade saga – a summary
Most readers will be aware of the FCA’s successful legal action in what has been widely referred to as the […]
Pension transfer advice – assessing transfer risk
It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have […]
Data protection – children, third-parties and lawful basis
We have written before (see here) about the situation where a privacy notice (and if required, consent) is covered with […]
Anti Money Laundering Review …… Dear CEO – Banking Sector
The Financial Conduct Authority (FCA), in May 2021, issued a Dear CEO letter entitled “Action needed in response to common […]
General Insurance Pricing Practices: rule change mapping
We have recently issued a couple of newsletter articles relating to the changes being implemented by policy statement 21/05 “General […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]