Compliance

Advisers have long learned to cope with the compliance burden placed on their businesses. However, it remains a major headache for advisory practices.

In our compliance section FundsNetwork provide summaries of the FCA rules and guidance on issues such as pension transfers.

Article-Direction-03-2019 Business Toolkit

Pension transfer advice: the new rules at a glance

The FCA have issued Policy Statement PS 20/6, which lays down a number of new rules in order to improve the quality of DB transfer advice. Here FundsNetwork summarise some of the key points related to...

FundsNetwork 29th Jul 2020

Article-balance-01-2019 Business Toolkit

PROD 3 and 4: what you need to know

As part of MiFID II, the FCA introduced the Product Intervention and Product Governance Sourcebook (PROD) rules in January 2018.

FundsNetwork 6th Feb 2020

Article-Communications-02-2019 Business Toolkit

Senior Managers and Certification Regime (SM&CR)

The FCA has extended the Senior Managers and Certification Regime (SM&CR) to all solo-regulated firms from 9 December 2019. All senior managers will need to be approved. Fidelity FundsNetwork discusse...

FundsNetwork 19th Dec 2019

Article-Protection-02 Business Toolkit

Pension transfer advice

In our compliance section FundsNetwork provide summaries of the FCA rules and guidance on issues such as pension transfers.

FundsNetwork 10th Dec 2019

Tags

FUNDSNETWORK PENSION TRANSFER ADVICE COMPLIANCE MIFID II PROD PRODUCTS CLIENTS REGULATIONS RETIREMENT
 

Weekly Market Updates

Latest Business News

Keep up to date with financial market notifications & advice to further your business opportunities

 
© 2020, Copyrights Adviser Hub. All Rights Reserved
Terms & Conditions | Privacy Policy