A closer look at FG 21/3 – finalised guidance on transfers 13 April 2021 Alistair MacDougallCompliance In our recent article giving an overview of Finalised Guidance (FG 21/3), we indicated that we would pick out a […] Read More
Finalised guidance – Advising on pension transfers 6 April 2021 Alistair MacDougallCompliance Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC […] Read More
Considering a workplace pension in a pension transfer recommendation 25 March 2021 Alistair MacDougallCompliance Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS) […] Read More
GI and mortgage intermediary firms – PII cover and pandemic exclusions 16 March 2021 Shirley McKenzieCompliance The significant increase in PII costs for firms providing investment advice in recent years and the difficulties for firms doing […] Read More
Changes to DB Transfer redress calculations 9 March 2021 Paul CaineCompliance FCA redress guidance has been updated as at March 2021 – this article explains the background as at the date […] Read More
FCA Defined Benefit Advice Assessment Tool (DBAAT) 2 March 2021 Alistair MacDougallCompliance You may well have seen reports that the FCA recently published its Defined Benefit Advice Assessment Tool (DBAAT). This is […] Read More
Should clients take Abridged Advice? 17 February 2021 Paul CaineCompliance Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should […] Read More
FCA publications on Consumer Investments 20 January 2021 Alistair MacDougallCompliance The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to […] Read More
FCA – Update on SMR and CF (AR) applications 13 January 2021 Alistair MacDougallCompliance Approvals are currently taking longer than normal. Read More
Free Pension Transfer Webinars 6 January 2021 Alistair MacDougallCompliance Our webinars are available without charge for a limited period. Read More