Regulation

The European Commission has announced that agreement has now been reached on a new set of Data Protection rules to apply across the whole of the EU.

The FCA has recently given an indication of where it sees the main focus of activity during the forthcoming year.

Robin Wood of RWA comments on the issues of underinsurance within the insurance industry for Insurance Age

Compliance experts have urged the insurance broking industry to take recommendations about dealing with insistent clients on board, after the Financial Conduct Authority (FCA) published a reminder for pension advisers in June.

The FCA has fined and banned two Directors of a stockbroking and wealth management firm (Pritchard Stockbroking Ltd) for serious failings in relation to the protection of client money.

We are all familiar with the need to carry out annual checks, but recently, we have had a number of queries regarding the scope of these, particularly with regard to Non Executive Directors.

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