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 […]
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 […]
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 […]
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 […]
Financial protection post-BREXIT