Unravelling client objectives
Client objectives are the starting point for virtually all advice scenarios, but how often do the objectives recorded on file […]
recording
FCA expectations in relation to remote or hybrid working
The coronavirus (Covid-19) pandemic has resulted in many firms adopting remote working for some or all employees. Indeed, some of […]
Data protection – ICO mailing campaign
One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is […]
Managing conflicts of interest
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
Extension of Annual Financial Crime Reporting Obligations
Policy Statement PS21/4 summarises the FCA’s proposals to increase the number of firms (by circa 4500) who need to submit […]
Vulnerable clients – FCA finalised guidance
In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching […]
What’s up with WhatsApp?
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and […]