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.
The FCA implements changes to pension transfer rules that potentially affect all IFA firms
After much deliberation and mind changing, it looks like new requirements are finally set to be implemented
Changes to complaints rules from 9th July 2015
FCA Webcast question and answer session
Insistent Clients
Steve Bailey Compliance FCA, Pension, Pension Transfer
In light of the recent pensions reforms, the FCA has clarified the ‘insistent client’ expectations