Managing conflicts of interest
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself […]
Drawdown
Pension transfer advice – assessing transfer risk
It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have […]
What can you really do to support vulnerable clients?
Following consultation, the FCA published final guidance on vulnerable clients in February 2021 (FG21/1). We wrote about this topic and […]
Managing drawdown
In recent months, firms have been asking us about the process for managing drawdown plans. What do the rules require? […]
Abridged advice – how is it going so far?
Based on data and live visits to firms during the period from April 2015 to rule changes in 2018 and […]
FG 21/3 – client objectives
Following on from our previous articles on FG21/3, we will look today at another of the interesting areas covered by […]
Considering a workplace pension in a pension transfer recommendation
Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS) […]
Investment pathways go live
We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules […]
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