PS 21/4 – Extension of Annual Financial Crime Reporting
The FCA has confirmed in PS21/4 that it is proceeding with its previously stated intention to extend the requirement to
transfer
FG 21/3 – Pre-transfer advice information for clients
This fourth in a series of articles on FG 21/3 takes a closer look at the guidance around pre-advice information
FG 21/3 – client objectives
Following on from our previous articles on FG21/3, we will look today at another of the interesting areas covered by
Changes to DB Transfer redress calculations – an update
We wrote about the background to updated redress guidance following the Chancellor’s announcement of changes to the way that the
Recommending a ‘do not transfer’
Here is a question. If a client is being recommended NOT to transfer, do you still need to identify a
A closer look at FG 21/3 – finalised guidance on transfers
In our recent article giving an overview of Finalised Guidance (FG 21/3), we indicated that we would pick out a
Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC
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)
Data Protection – post BREXIT update
On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s
GI and mortgage intermediary firms – PII cover and pandemic exclusions
The significant increase in PII costs for firms providing investment advice in recent years and the difficulties for firms doing
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