It has been a busy month for papers and publications at the FCA. These include: New
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Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS)
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Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were
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Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
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Yet another switch has been found wanting at the FOS.
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New Content Integrations from Leading Third-Parties and Much More
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Is it risky to recommend a client invests via an adviser only platform?
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What needs to be considered when buying or selling an adviser firm?
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How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that
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A timely reminder of the need for advice to be documented comprehensively.
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