As indicated in last week’s Newsletter, we will be running a series of webinars, starting late October, that will provide detailed explanation of the new rules around Pension Transfer Advice and how firms can satisfy these.
There will be three webinars, each lasting around 20-30 minutes, as follows:
- Part one
Overview of the rule changes
Contingent charging ban - Part two
Filtering
Information / Education (‘Triage’)
Abridged Advice - Part three
Considering the Workplace Pension option
Other rule changes
The ongoing advice charge conundrum
Paul Jay Compliance 2018, Conduct, FCA, MiFID
A high proportion of advice firms operate a largely recurring income model and with this comes the obligation to conduct client reviews. This is a subject that raises its head frequently with firms, especially with Consumer Duty considerations. Reviews are nothing new but when MiFID II came into effect on 3rd January 2018 it introduced […]