A high proportion of advice firms operate a largely recurring income model and with this comes the obligation to conduct
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Most firms will have at least vague recollections of the FSA’s thematic review of pension switching and the report it
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Nothing major, but take note. The FCA has announced that it will be replacing the Financial Resilience Survey
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Most of the talk in the financial services industry relating to 31/7/23 focuses on Consumer Duty and for good reason,
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Firms who have advised clients to transfer away from the British Steel Pension Scheme (BSPS) should be well acquainted with
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Many firms are now operating their own preferred investment solution – a Centralised Investment Proposition (CIP) – which they seemingly
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The FCA has published proposals for a simplified advice regime, but don’t get too excited – just yet. At
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What do you do? Your client has inherited some (insert company name) shares and she asks you, as her trusted
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As part of the Government’s reforms of previous EU legislation, next on the list is the proposal to scrap the
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A common feature of many file checks is missing or unclear client information. Missing information is generally due
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