Policy Statement PS 20/06

Policy Statement PS 20/06

This paper announced a number of significant changes to the rules around transfer advice.
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Compliance
FCA framework for firms on assessing adequate financial resources

FCA framework for firms on assessing adequate financial resources

The FCA has published final guidance on a framework to help financial services firms ensure they have adequate financial resources […]
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Compliance
Recording calls and meetings

Recording calls and meetings

We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during […]
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Compliance
Recording calls and meetings

Recording calls and meetings

How is client audio considered for the purposes of data protection?
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Compliance
FCA – Coronavirus Financial Resilience Survey

FCA – Coronavirus Financial Resilience Survey

The FCA is writing to around 13,000 firms with a short survey.
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Compliance
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