Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC […]
Alistair MacDougall
Considering a workplace pension in a pension transfer recommendation
Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS) […]
Data Protection – post BREXIT update
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s […]
Vulnerable clients – FCA finalised guidance
In February, the FCA published ‘Finalised guidance FG21/1: Guidance for firms on the fair treatment of vulnerable customers’. In launching […]
FCA Defined Benefit Advice Assessment Tool (DBAAT)
You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is […]
Passporting
Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from […]
What’s up with WhatsApp?
In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and […]
Investment pathways go live
We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules […]
FCA publications on Consumer Investments
The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to […]
FCA – Certification Regime considerations for all firms – Annual Certification
Make sure you meet the SM&CR deadlines.