Jon Roberts

Clearing up product governance sticking points

Some are struggling with rules brought in by Mifid II and the FCA is expected to sharpen its focus on this area It is well over a year since the introduction of Mifid II, yet the fallout continues, with intermediaries still getting to grips with the implementation of aggregated costs and charges disclosure requirements. Issues […]

Threesixty: Counting down to regulatory changes in December

Everything you need to know to get preparations in order ahead of the December deadline The extension of the Senior Managers and Certification Regime to FCA-regulated firms falls on 9 December. You should be starting preparations now. The regime centres on accountability, culture and governance. It aims to: Encourage staff to take personal responsibility; Improve […]

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Compliance tip: Beware email scams against advice firms

All firms run the risk of being used by criminals for fraudulent activity, so it is vital to remain vigilant. Fraudulent emails are becoming more sophisticated and we recently became aware of a new scam targeted at financial intermediaries. The scam revolves around your client’s email account which has been hacked. You receive a request […]