4 February 2021 This article was first featured in Money Marketing in June 2020. Permissions: Use them or Lose them We often come across firms that hold certain regulatory permissions, but don’t use them. The first one that comes to …
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 …
2 June 2020 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 …
6 August 2019 FCA proposes a ban on contingent charging and other measures to protect clients receiving pension advice Whether you agree with it or not, the Financial Conduct Authority (FCA) has announced that they are pressing ahead with plans …
14 January 2019 Looking back over 2018, one of the key regulatory themes emphasised throughout was culture. The year started with what can be best described as another stain upon the reputation of the financial services industry, with the unedifying publicity …
26 July 2018 The Financial Conduct Authority (FCA) has published a series of papers explaining how it plans to implement the Senior Managers & Certification Regime across all sectors of the financial services industry. At present, the Regime only applies …
9 July 2018 ‘Wake up packs’ as customers approach retirement, and ‘investment pathways’ for those accessing their retirement savings are amongst the proposals announced by the Financial Conduct Authority (FCA) as it seeks to improve outcomes for customers in the …