Use of social media in financial services – the FCA’s view
How do FCA regulations impinge on firms' use of social media?
2015
Disclosure issues
Some six years after RDR came into effect, many firms still do not comply with the adviser charging and disclosure […]
Vulnerable clients
Do you recognise and deal appropriately with vulnerable clients?
Final phase of the FCA’s transfer review starts
If you are involved in advising on DB transfers, this will be of interest.
Transfer advice – Insistent clients
Should you deal with insistent clients?
Asset Management Market Study
In light of MiFID II this is worth revisiting
Defined Benefit Transfers: Standards of Advice
Recently published FCA findings on suitability of transfer advice.
Transfer Advice – Partial Transfers
Taking a partial transfers could be a suitable option for many clients.
Implementing the FAMR – consultation paper
The FCA is pushing ahead with implementation of the FAMR. The latest consultation paper explains what is happening.
Merging Flexi-Access Drawdown Plans
Is it possible to merge Drawdown Plans?