Invisible advisers
Advisers no longer appear on the FS Register. What are the implications?
Update
Fifth Money Laundering Directive (5MLD)
Changes are effective from 10 January 2020. Make sure you are implementing the rules as required.
Pet hates of a file reviewer – part three
Our file reviewers share their compliance turkeys.
FCA Connect – New Requirement for firms from January 2020
From January 2020, firms will be required to submit their mandatory annual update via Connect.
SM&CR forms
Are you aware of all the forms associated with the SM&CR?
Register for Connect
The FCA is encouraging firms to ensure they are registered on Connect.
Cyber resilience
Could your business repel and recover from a cyber attack?
Mortgage Responsible Lending Update
The FCA has published the first summary of the discussions from the responsible lending implementation group.
Lasting Power of Attorney and DFM investment
LPA may constrain the use of a DFM solution.
RDR/FAMR Review – Firm Information Request
What might this indicate about the FCA's areas of focus?