FCA publications on Consumer Investments
The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to […]
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2021 New Year reminders!
It is 2021 and changes are afoot ...
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
Some questions to ponder ...
FSCS protection post BREXIT transition
Are you aware of the changes to consumer protection?
FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers
New rules for firms in relation to NMPIs, SISs or mini bonds.
Is your website compliant?
Most adviser websites are financial promotions. Is yours compliant?
FCA Systems Outage
Dates to note.
Pension transfers – scheme information
Scheme data templates are available to make the process of obtaining scheme and member information more efficient.
Portfolio letter to Mortgage Intermediaries
The FCA has written to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.