Research reveals vulnerability in legacy telecoms standards that is being overlooked by finance firms.
Information to be recorded on each representative should include:
A firm is required to retain these records for at least three years from the date of the termination or the amendment of the contract.
For tied agents the records must be retained for five years.
Research reveals vulnerability in legacy telecoms standards that is being overlooked by finance firms.
Jean Hurley 3 min read
What boards should now be asking to safeguard their employees.
Dominik Opaliński | Hunters Law LLP 5 min read
Regulated banks can no longer treat Annex 1 regulation as a stamp of compliance.
Jean Hurley 1 min read
Regulator urges firms experiencing growth to consider findings and assess whether arrangements remain appropriate.
Hameed Shuja 3 min read
Our regular roundup of the latest news and developments from the FCA.
Hameed Shuja 3 min read
Two FCA consultation papers prepare for implementation of an equities CT in the UK and aim to improve accessibility and clarity of trade data.
Thomas Hyrkiel 2 min read
Our in-brief roundup of notable stories from the last week.
GRIP 3 min read
We assess how the guidance might influence a firm's response to an offensive social media post made by an employee in their private life.
James Green | Burges Salmon 2 min read