Considering a workplace pension in a pension transfer recommendation
Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS)
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Making platform transfers simpler
Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were
Should clients take Abridged Advice?
Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
Another pension switch bites the dust
Yet another switch has been found wanting at the FOS.
New Content Integrations from Leading Third-Parties and much more
New Content Integrations from Leading Third-Parties and Much More
Adviser only platforms
Is it risky to recommend a client invests via an adviser only platform?
Acquiring or selling a business
What needs to be considered when buying or selling an adviser firm?
If it’s not written down, it doesn’t exist
How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that
If it’s not written down, it doesn’t exist
A timely reminder of the need for advice to be documented comprehensively.
COVID-19: Guidance for financial firms
In light of the continuing and increasing concerns over the COVID-19 virus and its impact on the economy and consequently