Hot Topics

OPS Pension Transfers: ATEB undertakes in-depth analysis and has concerns

ATEB has completed a number of Section 166 Skilled Persons reviews - here are some of the lessons learnt.

Complaints rules have changed - have you updated your procedures and templates? See here 

Pension Transfer rules have changed. Switching pensions with GARs now require additional permissions.

Do you have a clearly defined and consistently applied investment process?

Are you truly Independent? Read ATEB's special report here.

Consumer Credit. FCA regulation much more onerous than the OFT - do you have the right permissions?


Taking a partial transfers could be a suitable option for many clients.

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The FCA has published its policy on recording telephone calls.

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The first of a series of guides on transfer advice.

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Compliance Officers can be held personally liable for compliance failings. Read how to avoid this situation arising.

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01 August 2017

Legal Entity Identifiers

Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.

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FCA consults on new rules for insistent clients. Read here for more detail.

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