FCA – Consumer
The FCA has published details of its new approach to consumer protection, which the regulator hopes will give consumers the
2020
DB Advice – CPD correction
FT Adviser published an article on 21 September under the heading ‘How to advise on DB transfers’. We would like
Update on SMR and CF (AR) applications
The FCA has published an update on the timescales and delays currently being experienced by firms that submit application for
Trust Registration Service – update
New rules, transposing the Fifth Money Laundering Directive (5MLD) into UK law took effect on 10 January 2020. One impact
The Avacade saga – a summary
Most readers will be aware of the FCA’s successful legal action in what has been widely referred to as the
Urgent update: Covid-19 Impact Survey
We have received the following correspondence from the FCA: “On 12 August 2021, we sent the below e-mail*
DB Pension Transfers – some charging issues
The rules that came into effect in October 2020 arrived under a headline objective of ‘banning contingent charging’. Inevitably, the
Pension transfer advice – personalised charges
“I’ve started so I’ll finish …”. A well known catchphrase first coined by Magnus Magnusson, the original presenter of the
FCA Covid-19 Survey #5
The FCA has advised; Many of you will be aware that we issued the first phase of the Covid-19 Impact
Fund managers falling short on assessing the value of their funds
One of the issues identified in the FCA’s Asset Management Market Study was a lack of competition among fund providers