Important Changes to Capital Adequacy – A Reminder for Smaller Firms
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
PI
Implementing the FAMR – consultation paper
The FCA is pushing ahead with implementation of the FAMR. The latest consultation paper explains what is happening.
ATEB Supervisor Training and Complementary Courses
ATEB Training Days announced
ATEB launches risk profiling process
Fish, tree or river?
Advising on Pension Transfers
Read about the most common failings with transfer advice and how to avoid them.
GC 16/8 : Amendment to Guidance on loan to income ratios in mortgage lending
Planned changes affecting mortgage lenders and of interest to Mortgage Advisers
Insurance Intermediaries and PI Insurance
The FCA has reviewed the PII policies of 200 intermediaries and found significant problems
Adviser fees by instalments – a timely reminder
An option that could be of benefit to some clients.
RMAR – some useful reminders
Are you completing your RMAR correctly?
FCA publishes a useful 10 minute Financial Crime webcast for consumer credit firms
Does your firm have sufficiently robust systems and controls, policies and procedures and governance in place to mitigate financial crime?