Category: Compliance

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ARE YOU READY FOR INTENSIFIED AR REPORTING?

20 June 2022 IFPR is not the only contentious acronym hitting the headlines recently. The Appointed Representatives regime (ARR) has morphed in the last few years into a controversial debate about how financial products and services should be delivered. Whilst …

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FCA to quiz firms with DB permissions

30 June 2020  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 …

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Client Portal Due Diligence

8 April 2019 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 …