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...
by Tony Catt | Dec 3, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Insurance Distribution Directive December 2017 The IDD consultation is now in its third iteration. This is just another of the tsunami of rules being introduced in 2018, alongside MIFID II, GDPR and SM&CR, which will hit financial services firms in the UK in 2018....
by Tony Catt | Oct 6, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
MIFID 2 – Major reforms or big whoop? October 2017 MiFID 2 – EU legislation coming to the UK From the FCA site “The Markets in Financial Instruments Directive is the EU legislation that regulates firms who provide services to clients linked to ‘financial...
