Appointed Representative regime changes 9 August 2022 Paul JayCompliance In our previous article following the issuance of FCA’s Policy Statement PS22/11, we covered the Regulator’s rationale for changes to […] Read More
Change to Firm Reference Numbers 29 June 2022 Lisa CrossCompliance The FCA has advised as follows: “We currently use six-digit Firm reference Numbers (FRNs) to uniquely identify firms, […] Read More
Trustee & Power Of Attorney As Client + Additional Wording Options 22 May 2022 Doug McFarlaneSuitability We have completed the latest upgrade to ATEB Suitability on 22nd May 2022. This update comes at no additional cost […] Read More
FCA – new power to vary or cancel permissions 19 May 2022 Paul CaineCompliance The FCA can now vary or cancel permissions more quickly than previously applied. What is changing The FCA […] Read More
Improving the Appointed Representatives Regime 29 March 2022 Michael SeniorCompliance The FCA has consulted on proposed changes to the Appointed Representatives (AR) regime. The proposed changes aim to reduce potential […] Read More
Pension Transfers and Serious Ill Health Lump Sums 15 February 2022 Paul CaineCompliance We often see pension transfer cases where the client is in ill health and with this as the primary driver […] Read More
Appointed Representatives – some SM&CR questions 2 November 2021 John BeggCompliance Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one […] Read More
FCA expectations in relation to remote or hybrid working 19 October 2021 Alistair MacDougallCompliance The coronavirus (Covid-19) pandemic has resulted in many firms adopting remote working for some or all employees. Indeed, some of […] Read More
Regulatory permission – use it or lose it 21 September 2021 Michael SeniorCompliance The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions […] Read More
Data protection – ICO mailing campaign 21 September 2021 Shirley McKenzieCompliance One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is […] Read More