Papers galore! 25 May 2021 Huw ReynoldsCompliance It has been a busy month for papers and publications at the FCA. These include: New […] Read More
Considering a workplace pension in a pension transfer recommendation 25 March 2021 Alistair MacDougallCompliance Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS) […] Read More
Making platform transfers simpler 17 February 2021 John BeggCompliance Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were […] Read More
Should clients take Abridged Advice? 17 February 2021 Paul CaineCompliance Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should […] Read More
Another pension switch bites the dust 2 September 2020 Alistair MacDougallCompliance Yet another switch has been found wanting at the FOS. Read More
New Content Integrations from Leading Third-Parties and much more 13 July 2020 David AndersonSuitability New Content Integrations from Leading Third-Parties and Much More Read More
Adviser only platforms 17 June 2020 Alistair MacDougallCompliance Is it risky to recommend a client invests via an adviser only platform? Read More
Acquiring or selling a business 13 May 2020 Alistair MacDougallCompliance What needs to be considered when buying or selling an adviser firm? Read More
If it’s not written down, it doesn’t exist 12 May 2020 Alistair MacDougallCompliance How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that […] Read More
If it’s not written down, it doesn’t exist 29 April 2020 Alistair MacDougallCompliance A timely reminder of the need for advice to be documented comprehensively. Read More