Extension of Annual Financial Crime Reporting Obligations
Policy Statement PS21/4 summarises the FCA’s proposals to increase the number of firms (by circa 4500) who need to submit […]
transfer
Product Enhancements & Content Management Updates
We completed the latest upgrade to ATEB Suitability on 27th May 2021. This update comes at no additional cost and […]
FG 21/3 – charging for DB transfer advice
Everyone involved with defined benefit pension transfer advice should by now be very aware that contingent charging is banned for […]
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New […]
FG21/3 – Appropriate Pension Transfer Analysis (APTA)
COBS 19.1.2 states … “To prepare an appropriate transfer analysis a firm must: (1) assess the benefits likely to […]
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 […]
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 […]