Asset Management Market Study
In light of MiFID II this is worth revisiting
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Pet hates of a file reviewer
A light hearted story of every day file reviews - with some serious messages.
MiFID II
Periodic assessment of suitability under MiFID II
October 2017 Update
More Choice - More Flexibility - More Relevance
September 2017 Update
Defined Benefit Transfers
Transfer Advice – avoiding the pitfalls.
The first of a series of guides on transfer advice.
April 2017 Update
More Choice - More Flexibility - More Relevance
Pension Switches – a timely reminder
The regulator first published guidance on pension switching advice in 2009. It still applies yet firms do not always meet […]
Advising on Pension Transfers
Read about the most common failings with transfer advice and how to avoid them.
Acquiring clients from other firms
The FCA has issued guidance on the issues around acquiring clients from other firms