The FCA has published an alert to all Principals, regardless of sector, who have one or more Appointed Representatives or Introducer Appointed Representatives (‘ARs’). Principals are responsible for the regulated activities of their ARs. The alert sets out the risks that the FCA expects firms to consider and act upon, where relevant.
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This is a follow up to previous alerts about the risks involved in dealing with Introcuders. All Principal and Appointed Representative firms should read it.
For information.
More Choice – More Flexibility – More Relevance
New rules apply to transfer advice from 1 April 2018.
The FCA proposals for further changes to rules around pension transfer advice.
If you want help preparing for the AF7 exam, this should be of interest.
FCA Sector Views 2018 – Pensions and Investments
Alistair MacDougall Compliance 2016, 2018, FCA, Pension, Pension Transfer, Switch
Keep up to date with the FCA’s current areas of focus.