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January 2020

FCA 2020 priorities

January 24th, 2020|Compliance|

FCA priorities you need to be aware of in 2020. If you’re regulated by the Financial Conduct Authority (FCA), it makes sense to keep up with your regulator’s priorities – as there’s a strong chance they should be your priorities too. As we start a new year, we take a look at some of [...]

New direct marketing code

January 24th, 2020|Marketing|

What you need to know about the new direct marketing code. Earlier this month, the Information Commissioner’s Office (ICO) published its draft of the new direct marketing code of practice. This is the first time the direct marketing industry has had a code of practice. What does it propose, and what will firms need to [...]

What do City workers really know about the SMCR?

January 24th, 2020|Compliance|

This week, New Model Adviser took to the streets of the City to find out how much people really know about the Senior Managers & Certification Regime (SMCR). The resulting video shows the response they got – a mixed bag in terms of awareness of the new regime and its implications. It’s worth five minutes – [...]

Botox – Frequently Asked Questions (FAQs)

January 23rd, 2020|CAP|

Botulinum toxin is a ‘Prescription-Only Medicine’ (POM), which means there are specific rules on how and where you can advertise services that offer this. As rule 12.12 says: “Prescription-only medicines or prescription-only medical treatments may not be advertised to the public.” The recent Enforcement Notice from Committee of Advertising Practice (CAP) has resulted in lots of questions [...]

Key Takeaways from SEC and FINRA 2020 Priorities Letters

January 22nd, 2020|Smarsh|

Now that FINRA and the SEC have released their 2020 priorities letters, we can take a closer look at what firms should prepare for this year. In the letters, the regulators highlighted technology-related topics while also focusing on existing priorities, reminding firms of the need to adopt comprehensive supervisory processes that will ensure compliance [...]

Advertising guidance: Lasers

January 22nd, 2020|CAP|

General: Lasers Lasers can be used for a multitude of treatments, but marketers must in the first instance ensure their device is safe. Marketers are responsible for the classification of their devices, whether for medical or beauty purposes, and ensure that it holds the appropriate CE Marking. Marketers who are unsure about the regulation [...]