Latest Releases

Ongoing Advice Services - Guidance for firms
(October 2025)

Cyber Security Matters
(September 2025)

Transaction Monitoring
(August 2025)

Task Force for Climate Related Financial Disclosures (TCFD)
(June 2024)

Understanding customer vulnerability
(June 2024)

GUIDANCE ON SDR CONSUMER-FACING DISCLOSURE
(May 2024)

Client Communications and Marketing
(April 2018)

Data Gathering Conundrum
(February 2023)

bEST PRACTICE FOR Diversity & Inclusion
(May 2022)

Diversity & Inclusion
Regulation
(May 2022)

Trustees
(April 2022)

Sanctions Compendium
(March 2022)

DISCLOSURES UNDER THE IFPR
(March 2022)

Current Fraud Trends:
How to Protect Your Firm & Your Customers
(December 2022)

REMUNERATION
(November 2020)

Reviewing the FCA policy statement on pension transfer advice
(June 2020)

Cyber Resilience in Extraordinary Times
(May 2020)

Whistleblowing
(March 2020)

Appropriateness:
Volume 1 - MIFID
(December 2019)

Suitability
(June 2019)

Senior Managers and Certification Regime
(May 2019)

Cyber Attacks Trends and Reporting
(May 2019)

GDPR & Data Security
(November 2018)

Cyber Incident Good Practice Tips
(November 2018)

Implementation of MIFID in EU Member States
(October 2018)

Inter Broker Client Transfers
(October 2018)

iNSISTENT CLIENTS:
A good practice
(September 2018)

INSURANCE dISTRIBUTION dIRECTIVE
(September 2018)

Explanatory note -
The UK Retail Service Provider (RSP) model
(August 2018)

FCA Notification Rules
(August 2018)

rECORD keeping
under GDPR
(May 2018)

Handling FOS Complaint Claims
(March 2018)

LEGAL ENTITY IDENTIFIERS
(January 2018)

GDPR ACTION PLAN AND CHECKLIST
(August 2017)

MIFID II for Financial Advisers
(2017)