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?


How will changes to compliance governance affect your company?

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The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 Exempt.

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11 December 2017

MiFID II - Suitability

Suitability remains much the same as pre-MiFID II but there are some changes that firms need to be aware of.

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Although the new rules do not take effect until May 2018, it makes sense to consider them alongside MiFID disclosure changes.

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Firms need to understand the implications of the MiFID II definition of independent advice.

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MiFID II brings a new definition of independence - firms need to consider if they can meet the requirements.

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