DB Advice – CPD correction
FT Adviser published an article on 21 September under the heading ‘How to advise on DB transfers’. We would like […]
2020
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 […]
Implementation of Investment Firms Prudential Regime
The FCA has published policy statement PS21/6 – Implementation of Investment Firms Prudential Regime (IFPRU). The policy statement […]