FCA position on phoenixing
The FCA has stated its position on phoenixing type practices.
SM&CR – FCA latest
The FCA has issued some further gudance for firms.
Shareholder Rights Directive II
Do you provide a discretionary management service investing in shares on a regulated market?
SM&CR – Conduct Rules reminder
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.
Do you have authority to use a DFM?