CP16/18 – PRIIPs and the new rules on disclosure
New rules on disclosure will come into effect on 31 December 2016. See here for more information.
PI
Unauthorised introducers
There has been a proliferation of cases where advisers have advised clients gained via unauthorised introducers, with disastrous outcomes for […]
July 2016 Update
More Choice - More Flexibility - More Relevance
Changes to Complaints Handling Rules Effective 30/06/2016
The 1 day rule is now 3 days ..... and you need to write to the client ..... and you […]
Is a platform the right answer?
Firms' use of platforms is on the FCA's radar. Are you getting it right?
Suitability – still the FCA’s hot topic
A reminder of why suitability should be your top priority.
FCA Positive Compliance – Mortgage Session
“The advice process: building a solid base.” A summary of the FCA mortgage roadshow.
FCA Positive Compliance – Investments
One of a series of roadshows the FCA is running around the country, this session offered some new insights into […]
Important Changes to Capital Adequacy – A Reminder
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
ATEB suitability Upgrade
More Choice - More Flexibility - More Relevance