A reminder that we are running a supervisor’s training workshop on the 25th September.
It is important that firms can demonstrate that they meet the FCA’s rules and guidance and specifcally that “Firms should ensure that those supervising employees ……. have the necessary coaching and assessment skills ….. to act as a competent supervisor and assessor.
Find out more about our workshop here.
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Jeffrey Mushens, Technical Policy Director at TISA, provides a PROD perspective.
Many DFM/Adviser relationships are based on the agent as client model. This carries hidden dangers.
Budget 2018 / Extended Intelligent Office Integration
Confirmation of further rule and guidance changes in relation to advice on pension transfers.
Pension Transfer Advice – FCA’s latest findings
Alistair MacDougall Compliance 2019, FCA, Pension, Pension Transfer, PI
The FCA has published its latest findings on the quality of transfer advice. It does not make happy reading …