Ongoing client reviews – appropriate or not?
FT Adviser published an article on 15 February under the headline “Advisers struggle to get savers to come for pension […]
PI
FCA Consumer Duty – Research and Due Diligence
The FCA is consulting on ‘A New Consumer Duty’ and this is receiving considerable press coverage. The consensus of opinion […]
Awareness of the new FCA rule changes of sustainability
You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability. […]
How accurate is the data your firm submits to the FCA?
The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges. […]
Platform switching – is a suitability report required?
Platforms play a big part in the investment process of most UK firms. According to Defaqto, 94% of advisers place […]
Is now a good time?
The tentative question posed in the heading to this article refers to the vagueness of the rules around when disclosure […]
Discounting advice options
A question that pops up from time to time is whether there is a need to discount potential options that […]
FCA provide guidance on SMF16/17 appointments
Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and capable of effectively […]
IFPR and Remuneration Policy
The new UK Investment Firms Prudential Regime (“IFPR”) came into force on 1 January 2022 and applies to UK investment […]
IFPR – are you ready?
The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”. […]