Monthly Archives: January 2018

  • Suitability Letters

    We have now uploaded  amended suitability letters to the ALIFA website. These now include an updated table format to cater for ongoing charges disclosure as now currently required.

  • Anti-Money Laundering and Market Abuse

    As a subject this seems to have risen to the surface of the regulatory mind-set recently, and firms are being quizzed on their processes including a key question “when was... Read more.

  • An update on CPD requirements

    As most will know the basic annual CPD requirement is 35 hours of which 21 must be structured. Currently the FCA’s rules say that this is the minimum CPD for... Read more.

  • Consumer Misdirection

    The FCA, within the recent regulatory round-up, have requested that firms remove the FCA’s telephone number showing on their websites, emails and sales literature. There is no regulatory requirement for... Read more.