GRIP2 min read
GRIP2 min read
GRIP4 min read
FCA COBS 11.8
Electronic communications include:
A firm must also take reasonable steps to prevent communication that utilizes privately-owned equipment that the firm is unable to monitor and capture.
There is a carve out for discretionary investment managers in respect of communications with firms or person subject to the recording obligations in COBS 11.8.5R.
Reasonable steps must be taken to retain all records for a period of at least 6 months. The records must be stored in medium that:
Therese Chambers outlined new enforcement strategy to speed up investigations and clarified new enforcement publicity proposals.
Jean Hurley4 min read
In his regular column, Bovill’s Executive Chair Ben Blackett-Ord discusses how the new crypto financial promotions regime may cause consumer confusion.
Ben Blackett-Ord | Bovill2 min read
Will brokers face higher expectations for the standard of care that they provide to consumers?
Lewis Gurry | C & G Regulatory Solutions3 min read
Further Reading