Pension Transfer Advice – FCA’s latest findings
The FCA has published its latest findings on the quality of transfer advice. It does not make happy reading ...
Alistair MacDougall
Product Governance: TISA’s Perspective
Jeffrey Mushens, Technical Policy Director at TISA, provides a PROD perspective.
Agent as client
Many DFM/Adviser relationships are based on the agent as client model. This carries hidden dangers.
Policy Statement PS 18/20 – Pension Transfers
Confirmation of further rule and guidance changes in relation to advice on pension transfers.
Vulnerable clients
Do you recognise and deal appropriately with vulnerable clients?
Operational resilience and preparing for BREXIT
BREXIT, cyber attacks, IT failures, market events - firms need to be able to weather all these events ... and […]
Transfer triage
Firms that advise on defined benefit transfers need to ensure that their triage process does not inadvertently cross the line […]
Are you independent?
The definition of independence changed with MiFIDII on 3 January 2018. Many firms have not changed their disclosure to reflect […]
New transfer advice rules – 1 October 2018
New rules around transfer advice apply from 1 October 2018. Make sure you are aware and ready for them.
Final phase of the FCA’s transfer review starts
If you are involved in advising on DB transfers, this will be of interest.