Pension Transfer Specialist Status
Does a PTS need to be a CF30?
Compliance
Impact of Data Protection on the Senior Managers & Certification Regime (SM&CR)
How does Data Protection affect the recruitment process?
GDPR – one year on
GDPR has now been in place for a year - how is it going?
FCA focus for 2019/20
The FCA has given a clear idea of where it will focus attention in the coming year.
Fund suspension
Following the recent Woodford fund suspension, we consider the regulatory requirements.
Thematic Review – GI Distribution
The FCA warns GI firms to place greater focus on customer outcomes.
Is your email footer compliant?
Many are not ...
Supervisor training 2019
Details of next scheduled event.
Principals and Appointed Representatives – action needed
Following recent FCA investigations that resulted in a Dear CEO letter, firms that have Appointed Representatives need to review the […]
Pension Transfers – the ‘Why now?’ question
So, it's right for the client to transfer ... but should the transfer be done NOW?