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?


In light of MiFID II this is worth revisiting

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The FCA is enhancing the requirements for the provision of an ‘information prompt’ to prospective annuity consumers.

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A light hearted story of every day file reviews - with some serious messages.

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There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.

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20 December 2017

LEI update

A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.

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This new requirement is posing some questions about how it can best be implemented. We think that firms should wait until the mechanisms in the market place are a little clearer.

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