Compliance

Live and Local Q&A events for mortgage intermediaries and lenders

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While this paper is mostly of relevance to Pension Providers, there are some implications for advisers.

The outcome of CP19/20 could have far reaching implications for firms.

What might this indicate about the FCA's areas of focus?

CP19/25 highlighted some commonly used reasons to transfer/switch that often do not stand up to close scrutiny.

The FCA has stated clearly that monitoring firms' implementation of the Conduct Rules will be a key focus in future […]

All is not what it seems when considering the risk tolerance rating of different funds.

Transfer advice is complex and may not always be able to be delivered properly before the CETV guarantee expires.

Given recent changes in the UK's position on BREXIT, the FCA has updated its guidance.

The FCA is proposing a series of wide ranging changes in relation to pension transfer advice, including a ban on […]