December 2018 Update
Attitude to Transfer Risk / Extended Intelligent Office Integration
FCA
Disclosure issues
Some six years after RDR came into effect, many firms still do not comply with the adviser charging and disclosure […]
Pension Transfer Advice – FCA’s latest findings
The FCA has published its latest findings on the quality of transfer advice. It does not make happy reading ...
Aggregated costs and charges
Firms need to start issuing aggregated costs statement in Q1, 2019.
Preparing for BREXIT
See if and how your firm is affected by BREXIT.
Policy Statement PS 18/20 – Pension Transfers
Confirmation of further rule and guidance changes in relation to advice on pension transfers.
Are you independent?
The definition of independence changed with MiFIDII on 3 January 2018. Many firms have not changed their disclosure to reflect […]
Transfer triage
Firms that advise on defined benefit transfers need to ensure that their triage process does not inadvertently cross the line […]
Operational resilience and preparing for BREXIT
BREXIT, cyber attacks, IT failures, market events - firms need to be able to weather all these events ... and […]
Vulnerable clients
Do you recognise and deal appropriately with vulnerable clients?