Menu

post archive – compliance

New pension nudge rules

New pension nudge rules

One of our clients recently received this note from a SIPP provider.     “You may already be aware that […]
Link
Compliance
Change to Firm Reference Numbers

Change to Firm Reference Numbers

The FCA has advised as follows:     “We currently use six-digit Firm reference Numbers (FRNs) to uniquely identify firms, […]
Link
Compliance
New notification requirement – 25 June 2022

New notification requirement – 25 June 2022

A new notification rule takes effect from 25 June 2022. Read on for details.     Firms will be aware […]
Link
Compliance
Ensuring the fair treatment of customers in vulnerable circumstances

Ensuring the fair treatment of customers in vulnerable circumstances

With Consumer Duty requirements set to take effect in Q2 2023 and ahead of the final rules being published – […]
Link
Compliance
FCA Survey – problem question

FCA Survey – problem question

We wrote recently about the latest FCA survey. This is mandatory and some firms have been querying how to answer […]
Link
Compliance
Load More

Warning: Invalid argument supplied for foreach() in /homepages/17/d135247076/htdocs/clickandbuilds/ATEBNewsProd/wp-content/themes/basic/themify/class-themify-enqueue.php on line 676

Warning: Invalid argument supplied for foreach() in /homepages/17/d135247076/htdocs/clickandbuilds/ATEBNewsProd/wp-content/themes/basic/themify/class-themify-enqueue.php on line 693