The FSA requested in their email of 06th December 2012 that the professional standards data collection return for each firm had to be submitted by the 29th January and subsequently within 20 working days from the end of each quarter if there had been a change at the firm.
If there has been a change at your firm i.e. unqualified staff now qualified or a change in personnel then please ensure that the spreadsheet is completed and returned in time.
If you are unsure or have any queries please ask your ATEB consultant.
Pension Transfer charging
Alistair MacDougall Compliance abridged, FCA, P1, Pension, Pension Transfer, PI, transfer
Policy Statement PS 20-06 stated that a firm providing pension transfer advice “… may also not charge less than it would charge for investment advice of the same value”. That seems clear enough, but the rule that gives effect to this statement is subtly different. COBS 19.1B.7 states: “A firm should not charge less […]