
Certification and SPS – when two worlds collide
Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of…
Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of…
The FCA’s training and competence regime helps to protect consumers by ensuring that staff working…
This is quite a hot issue. The FCA has undertaken a thematic review, following RDR,…
Over the last few years, the financial services industry has been presented with a series…
With the recent election now behind us and the Brexit negotiations likely to drag on…
After ten years of extensive revision, debate and delays, the revised Markets in Financial Instruments…
Introduction of the FCA’s new Accountability Regime continues apace. The one-year Transitional Period for issuing…
Regulation is only going one way, equaling an ever growing need to evidence competency. With…
The matter of suitability letters/reports has exercised the minds of advisers over the years. For…
Enough time has elapsed post RDR for the UK Wealth Management industry to start taking…