In focus

MiFID II

MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.

Advising on P2P agreements

Find out more about the new permission for the regulated activity of ‘advising on P2P agreements’.

Complaints data

We publish complaints data on individual firms and aggregate figures for the industry.

Changes to COBS in Quarterly Consultation Paper No. 15

A chapter in our latest Quarterly Consultation Paper is looking to make changes to COBS on adviser charging for vertically integrated firms, arising out of the Financial Advice Market Review.

CP16/39: Quarterly Consultation Paper No. 15

 

Meeting investors’ expectations

We report the findings of our thematic review that considered how firms ensure they manage funds and segregated mandates as they say they will. We also considered how firms monitor the appropriate distribution of their funds.

TR16/3: Meeting investors’ expectations