Appointed Representative regime changes
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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Change to Firm Reference Numbers
The FCA has advised as follows: “We currently use six-digit Firm reference Numbers (FRNs) to uniquely identify firms, […]
Trustee & Power Of Attorney As Client + Additional Wording Options
We have completed the latest upgrade to ATEB Suitability on 22nd May 2022. This update comes at no additional cost […]
FCA – new power to vary or cancel permissions
The FCA can now vary or cancel permissions more quickly than previously applied. What is changing The FCA […]
Improving the Appointed Representatives Regime
The FCA has consulted on proposed changes to the Appointed Representatives (AR) regime. The proposed changes aim to reduce potential […]
Pension Transfers and Serious Ill Health Lump Sums
We often see pension transfer cases where the client is in ill health and with this as the primary driver […]
Appointed Representatives – some SM&CR questions
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one […]
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 […]
Regulatory permission – use it or lose it
The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions […]
Data protection – ICO mailing campaign
One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is […]