Compliance support services for IFAs – top FIVE things to consider ✅
Operating an IFA business under ‘lockdown’ has already prompted many advisors to review their compliance support services as they look to gear up for a post-COVID-19 business landscape. With a raft of new legislation imminent and a sharper focus on …
FCA to quiz firms with DB permissions
The FCA announced earlier this month that it will be contacting all firms who hold permission to advise on DB pension transfers and other safeguarded benefits, to request further data to allow them to continue to understand the shape of …
BREAKING: new mandatory FCA survey for advisers
As members of the APCC, we’ve been briefed on a new study about to be undertaken by the FCA, which requires immediate attention. Participation in the process is mandatory for IFAs and wealth management firms selected to take part… The …
Vicky Pearce selected as finalist for ‘Professional Adviser’ award.
We are delighted to report that Vicky Pearce has been selected as a finalist in a prestigious awards ceremony organised by Professional Adviser, the leading media title read by UK-based regulated financial advisers. The Women in Financial Advice Awards recognises …
Furloughing staff: FCA and HMRC compliance issues?
A new arrangement between HMRC and the FCA highlights the need for advisors to remain vigilant of their compliance obligations surrounding furloughed staff. A collaboration agreement between the FCA and HMRC, announced on May 1st 2020, has the potential for …
Thinking of Selling your Practice? STOP ………………….and read on
What will happen to the clients you have worked with for many years. Are worried about your clients becoming just a number or worse someone else’s asset, this is the most common conversation we have with advisers wanting to exit …