The FCA has launched a consultation (CP21/34 ) which is intended to improve the appointed representatives regime and tackling harm
Read more
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended
Read more
The rights of pension scheme members to transfer, that were established in the Pensions Act 2015 are no longer absolute
Read more
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one
Read more
The FCA is requesting completion of a survey from firms with Appointed Representatives (ARs). Where applicable, firms may already have
Read more
The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges,
Read more
FCA Policy Statement PS18/20 introduced a new requirement that all Pension Transfer Specialists (PTS) must hold the Level 4 qualification
Read more
Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now
Read more
The FCA has published an update on the timescales and delays currently being experienced by firms that submit application for
Read more
The Financial Conduct Authority (FCA), in May 2021, issued a Dear CEO letter entitled “Action needed in response to common
Read more