Pension transfer advice – assessing transfer risk

Pension transfer advice – assessing transfer risk

It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have […]
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Compliance
Data protection – children, third-parties and lawful basis

Data protection – children, third-parties and lawful basis

We have written before (see here) about the situation where a privacy notice (and if required, consent) is covered with […]
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Compliance
DB Pension Transfers – some charging issues

DB Pension Transfers – some charging issues

The rules that came into effect in October 2020 arrived under a headline objective of ‘banning contingent charging’. Inevitably, the […]
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Compliance
Anti Money Laundering Review …… Dear CEO – Banking Sector

Anti Money Laundering Review …… Dear CEO – Banking Sector

The Financial Conduct Authority (FCA), in May 2021, issued a Dear CEO letter entitled “Action needed in response to common […]
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Compliance
General Insurance Pricing Practices: rule change mapping

General Insurance Pricing Practices: rule change mapping

We have recently issued a couple of newsletter articles relating to the changes being implemented by policy statement 21/05 “General […]
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Compliance
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