by Tony Catt | May 3, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
FCA Platform Review May 2018 Investment Platforms Market Study (IPMS) The Investment Platforms Market Study (IPMS) was launched in July 2017. The FCA wanted to explore how investment platforms compete to win new consumers and retain existing ones to help it assess...
by Tony Catt | May 3, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Regulation and compliance bollocks May 2018 The introduction of GDPR and other regulation can be scary Many message originators missed an important point of the new rules. The new rules stress that consent now needs to be a positive opt in. Therefore, all those...
by Tony Catt | Mar 19, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
How do you take your risk? – EIS? March 2018 A look at Enterprise Investment Schemes I have recently been involved with some Enterprise Investment Scheme (EIS) funds, which is a departure from my usual duties with IFA firms. That is one of the joys of working...
by Tony Catt | Jan 24, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
GDPR for Advisers January 2018 Deleting personal data – yes or no? The question of whether a firm is required to delete personal data, or restrict its processing, is addressed in the GDPR and relates in part to the data controller’s basis for processing...
by Tony Catt | Jan 15, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
How much regulation does it take to get advisers to Treat Customers Fairly? January 2018 MIFIDII, SM&CR, IDD, GDPR. It would seem that most of the latter half of 2017 was spent trying to translate acronyms – MIFIDII, SM&CR, IDD, GDPR. All of these represent...
