Agent as client – a risky operating model?
The hidden risks of using a DFM solution.
PI
Transfer Value Comparator (TVC) – when is it required?
Understanding the requirements around the use of TVC.
Pension Transfer Specialist Status
Does a PTS need to be a CF30?
Fund suspension
Following the recent Woodford fund suspension, we consider the regulatory requirements.
FCA focus for 2019/20
The FCA has given a clear idea of where it will focus attention in the coming year.
Thematic Review – GI Distribution
The FCA warns GI firms to place greater focus on customer outcomes.
Principals and Appointed Representatives – action needed
Following recent FCA investigations that resulted in a Dear CEO letter, firms that have Appointed Representatives need to review the […]
Pension Transfers – the ‘Why now?’ question
So, it's right for the client to transfer ... but should the transfer be done NOW?
FCA Business Plan 2019-20
The FCA has announced its priorities for action over the coming months.
FCA Press Release – SM&CR
The FCA has issued a press release urging firms to start preparation for the SM&CR which applies to all FCA […]