MiFID II applications and notifications
MiFID II comes into being on 3 January 2018 but firms need to take action now.
Compliance
Important Changes to Capital Adequacy – A Reminder for Smaller Firms
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
Implementing the FAMR – consultation paper
The FCA is pushing ahead with implementation of the FAMR. The latest consultation paper explains what is happening.
ATEB Supervisor Training and Complementary Courses
ATEB Training Days announced
Merging Flexi-Access Drawdown Plans
Is it possible to merge Drawdown Plans?
Pension Switches – a timely reminder
The regulator first published guidance on pension switching advice in 2009. It still applies yet firms do not always meet […]
Adviser fees – the FCA’s next target?
It seems highly likely that adviser fees will come under FCA scrutiny.
ATEB launches risk profiling process
Fish, tree or river?
Advising on Pension Transfers
Read about the most common failings with transfer advice and how to avoid them.
Treatment of Politically Exposed Persons (PEPs)
This is a uesful FCA consultation if you have PEPs