We were pleased to brief readers of Professional Adviser about the need for IFAs to prioritise the submission of data for the new ‘FCA Directory of certified and assessed persons’ which is going live later this year under the SM&CR. You …
Why not sign up to our FREE, regular ‘Coffee Break‘ to which gives IFAs and compliance officers the opportunity to informally meet, learn, share and discuss compliance issues via Zoom™ as we all move through the current crisis together. Our …
As members of the APCC, we’ve been briefed on a new study about to be undertaken by the FCA, which requires immediate attention. Participation in the process is mandatory for IFAs and wealth management firms selected to take part… The …
We are delighted to report that Vicky Pearce has been selected as a finalist in a prestigious awards ceremony organised by Professional Adviser, the leading media title read by UK-based regulated financial advisers. The Women in Financial Advice Awards recognises …
Due to social distancing we are having to find new ways of communicating with each other, with video and audio calls being the popular choice, email, website blogs/vlogs and social media also have their place. At this time, it is …
In such uncertain times, it’s so important as a large community, that we come together to help one another with our wellbeing. Over the past couple of days, more and more businesses have been releasing their usual ‘paid for’ services, …
The FCA has issued a communication for firms to help identify who the key workers are. Their definition is: A key financial worker at a dual-regulated, FCA solo-regulated firm or PSR-regulated firm, or operators of financial market infrastructure, fulfils a …
What you need to know… We are writing to update you to B-Compliant’s approach to COVID-19. The Prime Minister has advised that anyone with symptoms must self isolate for 14 days along with their family and also avoid …
A few blogs ago we re-introduced PROD back into your considerations, and within this ESG was mentioned : – “With further requirements this year requiring firms to consider ESG, Environmental, Social and Governance preferences, it would be a good opportunity …
Overview The Financial Conduct Authority (FCA), in their 2019/20 business plan, set out their main areas of focus which include both their supervisory priorities and also market studies. So it was no surprise that the Dear CEO letter on 21st …