Monthly Archives: July 2013

  • Consumer Credit Licencing

    As some may be aware this has very much bubbled up to the surface recently – with two key issues arising;- It’s becoming apparent that there are some circumstances in... Read more.

  • Business Risk Awareness workshops / regulatory review

    The FCA advise that target dates by postcode in the following areas are: South Yorkshire & East Midlands Workshops –    September Reviews –         October Postcodes –      DN,HD,HU,HX,LE,LN,NG,PE,S,WF,YO  London West... Read more.

  • FCA Risk Assessment Programme

    Dale recently attended a compliance forum run by the FCA regarding their Risk Assessment programme. These are just the bullet points that may be of interest, and might assist as... Read more.

  • Model portfolios and CGT on monies not “tax wrapped”

    There is a potential CGT liability risk when clients are investing in model portfolio’s – and which are not within any form of tax wrapper (SIPP / ISA etc.). We... Read more.

  • CPD recording

    You may or may not be aware that the organisation who provides your Statement of Professional Standing (SPS) certificates, is required by the FCA to undertake a sample check of... Read more.