Transfer advice – the impact of ongoing charges
Clients should not transfer unless that is in their best interests. The impact of initial and ongoing charges is one […]
PI
Transfer advice – ensuring client understanding
It is not enough for advice to be provided - it has to be understood.
SM&CR and Appointed Representatives
What should Principal Firms do in relation to ARs?
SM&CR – FCA latest
The FCA has issued some further gudance for firms.
Cyber resilience
Could your business repel and recover from a cyber attack?
Shareholder Rights Directive II
Do you provide a discretionary management service investing in shares on a regulated market?
FCA ‘Improving the suitability of financial advice’ speech
The FCA has published the transcript of a speech delivered by Debbie Gupta of the FCA which we recommend all […]
Principals and Appointed Representatives – two tier client protection?
A recent Court case appears to have created two tiers of client protection.
Live and Local Q&A events for mortgage intermediaries and lenders
See here for dates and registration details.
FCA Framework for assessing adequate financial resources
The outcome of CP19/20 could have far reaching implications for firms.