Annuities – changes to information requirements

Annuities – changes to information requirements

The FCA is enhancing the requirements for the provision of an ‘information prompt’ to prospective annuity consumers.
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Compliance
Pet hates of a file reviewer

Pet hates of a file reviewer

A light hearted story of every day file reviews - with some serious messages.
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Compliance
MiFID II – Clarification on independence

MiFID II – Clarification on independence

There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.
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Compliance
LEI update

LEI update

A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
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Compliance
MiFID II – Aggregated costs disclosure

MiFID II – Aggregated costs disclosure

This new requirement is posing some questions about how it can best be implemented. We think that firms should wait […]
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Compliance
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