Product Enhancements & Content Management Updates
We completed the latest upgrade to ATEB Suitability on 27th May 2021. This update comes at no additional cost and […]
PI
FG 21/3 – charging for DB transfer advice
Everyone involved with defined benefit pension transfer advice should by now be very aware that contingent charging is banned for […]
FG21/3 – Appropriate Pension Transfer Analysis (APTA)
COBS 19.1.2 states … “To prepare an appropriate transfer analysis a firm must: (1) assess the benefits likely to […]
FCA survey – Credit broking
The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the […]
DP 21/1 – strengthening financial promotion rules for high-risk investments
The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions. […]
FG 21/3 – Pre-transfer advice information for clients
This fourth in a series of articles on FG 21/3 takes a closer look at the guidance around pre-advice information […]
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable […]
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 […]
Changes to DB Transfer redress calculations – an update
We wrote about the background to updated redress guidance following the Chancellor’s announcement of changes to the way that the […]
FCA whistleblowing campaign
The FCA has launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage individuals working in financial services firms to report potential […]