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-Chart-01-2019 Business Toolkit

Re-registration – the new rules from February 2021

To facilitate more platform-to-platform switching, from 1 February 2021, new FCA rules will come into force. At present, in-specie transfers (re-registrations) are not always possible, commonly due to...

FundsNetwork 14th Dec 2020

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

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

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