2015

FCA Retirement Income Advice Survey – a threat or an opportunity?

5 July 2023 Paul JayCompliance

We drew attention to the FCA’s Retirement Income Advice Survey in our ‘What lies beneath?’ article last month and there

25 January 2023 Shirley McKenzieCompliance

The FCA has announced that it will shortly be undertaking a thematic review to assess the advice consumers are receiving

14 September 2022 Paul JayCompliance

A common feature of many file checks is missing or unclear client information. Missing information is generally due

23 November 2021 Alistair MacDougallCompliance

We have seen a very large number of pension transfer suitability reports since the introduction of the pension freedoms that

16 November 2021 Alistair MacDougallCompliance

The rights of pension scheme members to transfer, that were established in the Pensions Act 2015 are no longer absolute

5 October 2021 Paul CaineCompliance

ATEB has worked with many firms over the past few years in relation to defined benefit pension transfer advice. This

31 August 2021 Alistair MacDougallCompliance

Most readers will be aware of the FCA’s successful legal action in what has been widely referred to as the

18 August 2021 Alistair MacDougallCompliance

It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have

22 June 2021 Alistair MacDougallCompliance

Based on data and live visits to firms during the period from April 2015 to rule changes in 2018 and

27 April 2021 Alistair MacDougallCompliance

Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable

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