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post archive – compliance

Financial protection post-BREXIT

Financial protection post-BREXIT

In December 2020, we reminded readers about the expected changes to FSCS protection after the EU withdrawal period ended on […]
Compliance
FCA Defined Benefit Advice Assessment Tool (DBAAT)

FCA Defined Benefit Advice Assessment Tool (DBAAT)

You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is […]
Compliance
Publication of Directory Persons data

Publication of Directory Persons data

Another March reminder! Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021. Submissions of 10 persons or […]
Compliance
The Final Countdown to Senior Managers and Certificate Regime (SM&CR)

The Final Countdown to Senior Managers and Certificate Regime (SM&CR)

March is almost here and Spring is in the air. So probably the last thing you are thinking about is […]
Compliance
FCA guidance on treating vulnerable customers fairly

FCA guidance on treating vulnerable customers fairly

We have received the following from the FCA; "On Tuesday 23 February, we published guidance for firms on the fair […]
Compliance
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