Business Compliance Rules & Guidance

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-Coin-02-2019 Business Toolkit

DB transfer issues and considerations

The outputs from the Pension Transfer Analysis System forms an important part of transfer advice, as well as the basis for much of the required Appropriate Pension Transfer Analysis (APTA).

FundsNetwork 10th Aug 2021

Article-Pension-01-2019 Business Toolkit

Pension transfer advice: Finalised Guidance

The FCA issued their final rules relating to DB pension transfer advice last year. In order to support firms offering this advice to clients, the regulator subsequently issued recent Finalised Guidanc...

FundsNetwork 21st Jul 2021

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The FSCF and EU-domiciled funds

In late 2020, there were some media reports suggesting that FSCS protections for EU-domiciled funds – such as those based in Ireland and Luxembourg – would be stripped away once the Brexit transition...

FundsNetwork 17th May 2021

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Ensuring the fair treatment of vulnerable customers

The FCA recently issued Finalised Guidance FG21/1 setting out requirements firms must follow.

FundsNetwork 19th Apr 2021

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Making transfers simpler

To facilitate more platform-to-platform switching, commonly due to mismatches between share classes of the same fund.

FundsNetwork 14th Dec 2020

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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

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FUNDSNETWORK BUSINESS TOOLKIT COMPLIANCE PENSION TRANSFER FCA RULES FINANCIAL ADVISERS PENSION TRANSFER ADVICE MIFID II PROD PRODUCTS CLIENTS REGULATIONS RETIREMENT
 

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