FCA FOCUS
We recently published an article summarising the FCA’s Business Plan for 2019/20. The Business Plan gives a clear idea of the issues at the top of the FCA’s to do list, and these are certainly also issues that all firms should address in their own business risk plans for the coming year.
Over the next few weeks, we will be issuing a few related articles, exploring some of those issues in a bit more detail under the banner of ‘FCA FOCUS’. Topics we hope to cover include:
- PROD
Evidence suggests that firms are not sufficiently aware of the requirements of this major element of MiFIDII and implementation is poor; - Aggregated costs disclosure
This whole area remains a bit of a mess with very few firms whether advisers, DFMs, platforms or other providers appearing to be doing it right; - DFM issues
There are risks with the relationship model that most DFMs offer to adviser firms; - SM&CR – culture and governance
Culture and governance is a continuing theme for the regulator. How does SM&CR help?
New Content Integration with T. Bailey Asset Management
Doug McFarlane Suitability 2024, content management, T.Bailey, Update
We have some exciting news on the latest upgrade to ATEB Suitability on 15th March 2024. This update comes at no additional cost and provides a new addition to our content integration library. We have partnered with T. Bailey Asset Management to provide our customer firms with access to the following: A description of their […]