Execution only and non-advised business
Both of these carry risks for firms. It is essential to understand the regulatory position.
Compliance
PASA Guidance on DB Transfers
What timescales and standards should Scheme Administrators be working to when a member wishes to transfer benefits?
New FCA platform to replace Gabriel
The FCA is planning a new platform to collect data from firms.
Ongoing reviews and value for money
How can firms ensure clients get value for money in annual reviews?
SM&CR Statement of Responsibilities – ‘reasonable steps’
Exactly what are 'reasonable steps' under the SM&CR?
SM&CR – a quick guide
Short of time to read about SM&CR? This quick guide should help.
SM&CR – Statement of Responsibilities
Wondering what a Statement of Responsibilities should look like?
Fifth Money Laundering Directive (5MLD)
5MLD will affect firms' AML processes.
Agent as client – a risky operating model?
The hidden risks of using a DFM solution.
Transfer Value Comparator (TVC) – when is it required?
Understanding the requirements around the use of TVC.