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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The FCA implements changes to pension transfer rules that potentially affect all IFA firms
After much deliberation and mind changing, it looks like new requirements are finally set to be implemented
Changes to complaints rules from 9th July 2015
FCA Webcast question and answer session
Insistent Clients
Steve Bailey Compliance FCA, Pension, Pension Transfer
In light of the recent pensions reforms, the FCA has clarified the ‘insistent client’ expectations