FCA Business Plan – 2021/22
Publication of the FCA’s Business Plan for 2021/22 was delayed from its usual spot in April, finally appearing at the
TCF
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable
Should clients take Abridged Advice?
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
Adviser only platforms
Is it risky to recommend a client invests via an adviser only platform?
Market downturn – communicating with clients
What should you tell clients about their investments in the current emergency?
Approving Financial Promotions
The FCA has issued a Dear CEO letter with further guidance regarding the approval of financial promotions.
Fair treatment of vulnerable clients
The FCA is consulting on proposed guidance to firms in dealing with vulnerable clients.
FCA Positive Compliance – Mortgage Session
“The advice process: building a solid base.” A summary of the FCA mortgage roadshow.
Arms and Legs
Is this what your suitability report could be growing?