Monthly Archives: December 2017

  • Capacity for loss assessment

    We’ve been considering how well the question in the ALIFA template fact find works.   Currently  it reads; “Would a material investment loss be difficult to recover from and substantially jeopardise... Read more.

  • MiFID II and telephone conversations

    As you may be aware the regulator has shied away from making all firms implement phone recording systems (apart from those firms who are in MiFID – only two ALIFA... Read more.

  • Full Costs Disclosure Requirements

    The FCA already have in place many of the MiFID II requirements of which Costs Disclosure is a key element which will affect all ALIFA firms. The disclosure requirement is... Read more.

  • Password Security

    In view of the increased security risks of online threats such as Hacking, Trojans, Software Viruses etc…. the following are some recommended tips for you to consider when setting passwords... Read more.