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Wealth managers
Coronavirus (Covid-19)
Update for firms providing services to retail investors
Dear CEO letter, 31 March
Update for firms providing services to retail investors
Delaying annual company accounts during the coronavirus crisis
FCA expectations on financial resilience for solo-regulated firms
Information for firms on coronavirus response
Including the SM&CR, regulatory change, impact on customers and operational resilience.
Information for firms on coronavirus response
In this section
Tasks for regulated firms
Your business
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Copy trading
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Client money and assets
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Financial crime
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Professional indemnity insurance
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Recording telephone calls
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Culture and governance
Your customers
Latest news
Published:
Published:
In focus
Transition from LIBOR
The interest rate benchmark LIBOR is expected to cease after end-2021. Firms must transition to alternative rates before this date.
Transition from LIBOR
MiFID II
MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.
MiFID II