Please see the third issue of Pensions News here .
To access issues 1 and 2 of Pensions News, please see previous ATEB news articles.
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This paper announced a number of significant changes to the rules around transfer advice.
We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during the COVID-19 emergency. You can link to our previous articles on call recording here. Now, as mentioned, Article 3 MiFID Exempt Firms have the option to create written file notes instead of recording calls and we […]
The FCA has published guidance for consumers wanting to check if the advice they received to transfer out of a defined benefit pension scheme might have been unsuitable.
The FCA is writing to around 13,000 firms with a short survey.
FCA framework for firms on assessing adequate financial resources
Alistair MacDougall Compliance FCA
The FCA has published final guidance on a framework to help financial services firms ensure they have adequate financial resources and to take effective steps to minimise harm.