In our previous article following the issuance of FCA’s Policy Statement PS22/11, we covered the Regulator’s rationale for changes to
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The FCA has advised as follows: “We currently use six-digit Firm reference Numbers (FRNs) to uniquely identify firms,
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We have completed the latest upgrade to ATEB Suitability on 22nd May 2022. This update comes at no additional cost
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The FCA can now vary or cancel permissions more quickly than previously applied. What is changing The FCA
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The FCA has consulted on proposed changes to the Appointed Representatives (AR) regime. The proposed changes aim to reduce potential
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We often see pension transfer cases where the client is in ill health and with this as the primary driver
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Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one
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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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The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions
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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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