Ongoing reviews and value for money
How can firms ensure clients get value for money in annual reviews?
2019
SM&CR – a quick guide
Short of time to read about SM&CR? This quick guide should help.
SM&CR – Statement of Responsibilities
Wondering what a Statement of Responsibilities should look like?
New Periodic Suitability Review Letter/Report Template
New Periodic Suitability Review Template
Pension Transfer Specialist Status
Does a PTS need to be a CF30?
Impact of Data Protection on the Senior Managers & Certification Regime (SM&CR)
How does Data Protection affect the recruitment process?
FCA focus for 2019/20
The FCA has given a clear idea of where it will focus attention in the coming year.
Thematic Review – GI Distribution
The FCA warns GI firms to place greater focus on customer outcomes.
Supervisor training 2019
Details of next scheduled event.
Pension Transfers – the ‘Why now?’ question
So, it's right for the client to transfer ... but should the transfer be done NOW?