Making platform transfers simpler
Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were
2019
FCA – Update on SMR and CF (AR) applications
When the Senior Managers and Certification Regime (SM&CR) became effective for solo regulated firms on 9 December 2019, the FCA
FCA – Certification Regime considerations for all firms – Annual Certification
Firms must assess their Senior Managers and Certification Staff are fit and proper (F&P) to perform their roles annually. The
Pension transfers – scheme information
Firms that provide advice on defined benefit pension transfers will be aware that it is not always straightforward to obtain
Claims Management Portfolio Letter
For reasons that will be obvious to most readers, Claims Management Companies (CMCs) are generally not popular with adviser firms.
Workplace Pensions
Firms providing defined benefit pension transfer advice must now* consider using any available workplace pension scheme as the destination for
Guidance – Fair Treatment of Vulnerable Customers
The FCA wants to see vulnerable consumers treated fairly and consistently across financial services sectors. One of the key areas
Policy Statement PS 20/06
On 5 June, the FCA published the long awaited policy statement following its consultation from 2019, CP 19/25. The policy
Complaints considered by a court
It is widely known that a final decision by the Financial Ombudsman Service (FOS), which has been accepted by the
Outsourcing to cloud and other IT service providers
On 6 February 2020, the European Insurance and Occupational Pensions Authority (EIOPA) published final Guidelines on outsourcing to cloud service