Another March reminder!
Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021.
Submissions of 10 persons or more using the multiple upload functionality must be done between 11 January and 18 March to ensure submissions are processed ahead of the deadline.
A failure to submit required data in time would be a breach of regulatory reporting requirements and could lead to enforcement or supervisory action.
There is a £250 admin fee for late or incorrect submissions.
A closer look at FG 21/3 – finalised guidance on transfers
Alistair MacDougall Compliance FCA, Pension, Pension Transfer, PI, transfer
In our recent article giving an overview of Finalised Guidance (FG 21/3), we indicated that we would pick out a few of the more interesting snippets for a closer look. That is not to imply that the rest of the guidance is of no interest, just a reflection that much of the guidance is a […]