Category: Compliance


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 …


Client Portal Due Diligence

Introduction More and more advisers are choosing to use client portals to enhance their client service proposition.  This rise in popularity is largely due to their clients being able to access their information more easily.  Fewer clients are wanting to …