Agent as client
Many DFM/Adviser relationships are based on the agent as client model. This carries hidden dangers.
PI
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 […]
Final phase of the FCA’s transfer review starts
If you are involved in advising on DB transfers, this will be of interest.
The Insurance Distribution Directive is almost here
The Insurance Distribution Directive (IDD) will impact all IFA and Insurance Intermediaries.
Outsourcing to the ‘cloud’
The FCA has issued updated guidance for firms in relation to the use of outsourced IT services.
Transfer advice – Insistent clients
Should you deal with insistent clients?
ATEB and GDPR
ATEB Data Protection Notice and GDPR. Important Reading.
Supervisor training 2018
Don't miss this opportunity to gain, refresh or improve your management skills.