Recording calls and meetings
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during […]
PI
Recording calls and meetings
How is client audio considered for the purposes of data protection?
FCA DB Transfer ‘Advice Checker’
The FCA has published guidance for consumers wanting to check if the advice they received to transfer out of a […]
Call recording issues
The FCA has issued a statement in respect of firms' call recording obligations during the COVID-19 emergency.
Clients – according to PROD
Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.
Drawdown and the Second Lifetime Allowance Test
It is essential to consider LTA implications carefully when transferring from a pension arrangement with safeguarded benefits.
Advising non-UK resident clients
Can you? Should you?
Acquiring or selling a business
What needs to be considered when buying or selling an adviser firm?
GDPR – two years on
The General Data Protection Regulation – or GDPR as it is more familiarly referred to, took effect in May 2018. […]
If it’s not written down, it doesn’t exist
How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that […]