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