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 […]
PI
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 […]
FOS award limit to remain unchanged
The FCA has made the following announcement about the FOS award limit. “When we increased the Financial Ombudsman Service’s award […]
Vulnerable clients – FCA finalised guidance
In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching […]
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 […]
Changes to DB Transfer redress calculations
FCA redress guidance has been updated as at March 2021 – this article explains the background as at the date […]
FCA Defined Benefit Advice Assessment Tool (DBAAT)
You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is […]
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 […]
Investment pathways go live
We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules […]