FCA Thematic Review – RDR – Delivering Independent Advice
The second stage of the FCA’s thematic reviews regarding firms' delivery of the RDR has been published and focusses on […]
PI
Benefit Statements
Do you include ‘Benefit Statements’ in your reports?
Annuity Panel Referrals
This article will be of interest to ALL Independent Firms that refer pension annuity business to specialist annuity companies.
Positive Compliance: Episode Four
This is the fourth in our series of Positive Compliance news articles and focusses on what the FCA looks for […]
Finalised Guidance: Inducements & Conflicts of Interest
The FCA’s finalised guidance (FG14-01) sets clear parameters.
Financial Scams – Insuring the IFA’s Own Losses and the Client’s Losses
More and more stories are coming to light of fraudulent schemes continuing to evolve at an alarming rate (please see […]
Positive Compliance: Episode Three
This is the third in our series of Positive Compliance news articles and focusses on the important topic of Income […]
Positive Compliance: Episode Two
This is the second in our series of Positive Compliance news articles and focusses on the important topic of Pension […]
Financial Scam within the Financial Services Industry
Our professional body has highlighted a financial scam within our industry that you should be aware of
Positive Compliance: Episode One
This is the first in a series of news articles that summarises feedback from the FCA's Positive Compliance workshops.