Disclosure issues 12 December 2018 Alistair MacDougallCompliance Some six years after RDR came into effect, many firms still do not comply with the adviser charging and disclosure […] Read More
Product Governance: TISA’s Perspective 11 December 2018 Alistair MacDougallCompliance Jeffrey Mushens, Technical Policy Director at TISA, provides a PROD perspective. Read More
Aggregated costs and charges 11 December 2018 Alistair MacDougallCompliance Firms need to start issuing aggregated costs statement in Q1, 2019. Read More
Are you independent? 25 September 2018 Alistair MacDougallCompliance The definition of independence changed with MiFIDII on 3 January 2018. Many firms have not changed their disclosure to reflect […] Read More
The Insurance Distribution Directive is almost here 16 August 2018 Alistair MacDougallCompliance The Insurance Distribution Directive (IDD) will impact all IFA and Insurance Intermediaries. Read More
Pension Switch Issues 11 July 2018 Alistair MacDougallCompliance A recent FOS decision confirms regulatory and good practice requirements in relation to Pension Switches. Read More
June 2018 Update 18 June 2018 David AndersonSuitability Defined Benefit Transfer Templates & MiFID II Changes Read More
2018/19 Tax Year Changes & April 2018 Update 6 April 2018 David AndersonSuitability More Choice - More Flexibility - More Relevance Read More
Asset Management Market Study 6 February 2018 Alistair MacDougallCompliance In light of MiFID II this is worth revisiting Read More
MiFID II – Aggregated costs disclosure 20 December 2017 Alistair MacDougallCompliance This new requirement is posing some questions about how it can best be implemented. We think that firms should wait […] Read More