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Compliance and regulatory matters

Expert insight to help you stay up-to-date with changing regulation

 

Using technology to manage regulatory change

What impact regulatory change has on advice firms and how technology can help run more compliant, and ultimately more efficient, businesses?

The FCA’s ESG priorities

A brief summary of the regulator’s environmental, social and governance strategy and the ESG-related work it is engaged in.

Pension transfer advice: the final rules at a glance

A four-page summary of the FCA’s Policy Statement PS 20/6.

Pension transfer advice: the finalised guidance

To support firms offering pension transfer advice to clients, we've provided a summary of the FCA Finalised Guidance (FG21/3).

Investment Pathways

New legislation was introduced on 1 February 2021 requiring pension providers to offer Investment Pathways to certain individuals entering or topping up drawdown arrangements.

Making transfers simpler

In order to make transfers between platforms easier, the FCA have introduced some new rules from 1 February 2021.

How are transfers changing?

As part of the Meeting of Minds event with Owen James, Jennifer Belton, Senior Manager, Adviser Experience at Fidelity Adviser Solutions spoke to advisers about how transfers between platforms are changing in light of new FCA guidance.  

PROD rules for advisers

A summary of the FCA's rules related to PROD 3: MIFID and PROD 4: Insurance Distribution Directive.

Ensuring the fair treatment of vulnerable customers

A high-level summary of the FCA’s Finalised Guidance FG21/1.

Retirement Outcomes Review

A four-page summary of the FCA’s Policy Statement PS19/21.

MiFID II

A closer look at fund transaction costs.

Investment Platforms Market Study

A four-page summary of the FCA's Market Study MS17/1.

The Senior Managers and Certification Regime

A summary of the FCA’s guide for solo-regulated advice firms.

The UK Financial Services Compensation Scheme (FSCS) and EU-domiciled funds

Now that the UK has left the EU, the FSCS protections in place have remained the same. However, access to other schemes in EU countries may have been affected. Here is a brief summary of the rules.