Positive Outcome
No recommendation is suitable without a positive outcome for the customer
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Disclosure of Total, Client Specific, Adviser Charge
It is important that firms understand what is needed in this respect and disclose adviser fees compliantly
FCA Positive Compliance Workshops
The FCA has announced the 2014/2015 programme of Positive Compliance workshops.
The Transition from Pre-RDR to Post-RDR Unit Classes
Changing customers to post-RDR unit classes - important guidance.
Pension Transfers and Switches into SIPPs
The FCA has issued another alert aimed at firms advising on pension transfers or switches into SIPPs to accommodate non-mainstream […]
Benefit Statements
Do you include ‘Benefit Statements’ in your reports?
Positive Compliance: Episode Four
This is the fourth in our series of Positive Compliance news articles and focusses on what the FCA looks for […]
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 […]
Positive Compliance: Episode One
This is the first in a series of news articles that summarises feedback from the FCA's Positive Compliance workshops.