FCA whistleblowing campaign 15 April 2021 Steve BaileyCompliance The FCA has launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage individuals working in financial services firms to report potential Read more
Vulnerable clients – FCA finalised guidance 16 March 2021 Alistair MacDougallCompliance In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching Read more
FCA Defined Benefit Advice Assessment Tool (DBAAT) 2 March 2021 Alistair MacDougallCompliance You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is Read more
The Final Countdown to Senior Managers and Certificate Regime (SM&CR) 23 February 2021 Michael SeniorCompliance March is almost here and Spring is in the air. So probably the last thing you are thinking about is Read more