Regulation and Compliance
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FCA SMCR – CISI launches Conduct Rules members’ toolkit
With the clock ticking on FCA SMCR deadline as CISI is launching a Conduct Rules members’ toolkit to further support consumers and…
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Are you using the CII’s CPD online platform? We talk to CII’s Matt Connell about how it works.
There are many ways in which technology is helping to boost efficiency across the financial planning profession – and this includes how…
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The unintended consequences of RDR – Verona Kenny of 7IM reflects on the legislation
Changes to legislation in recent years have brought big changes to the way advice is delivered for clients in the UK. Verona…
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Assessing value for money in a post-MiFID world -lang cat’s Mike Barrett has a practical take on it for advisers
With platforms set to issue new cost and charge statements to investors imminently, Mike Barrett of the lang cat argues that now…
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The investment platforms market study – compliance consultant Tony Catt reviews the FCA’s IPMS
Compliance consultant Tony Catt reviews the FCA’s IPMS and suggests that its main focus on improved switching should benefit both advisers and…
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Why is Clark Kent looking dishevelled?
As the FCA takes a look into the drivers of change and sources of potential harm in various markets – including saving,…
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PFS announces new 2018/2019 practitioner panel
The Personal Finance Society (PFS) has announced its new Financial Planning Practitioner Panel for 2018/2019. The panel will continue to be chaired…
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Alliance challenges FCA to do more to support professionalism in UK financial services
A financial services alliance is challenging the FCA to do more to support professionalism in UK financial services. The Chartered Body Alliance,…
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FCA says it is consulting on the introduction of a new directory of regulated individuals and firms
The FCA said today that its consulting on proposals to introduce a Directory – a new public register for checking the details…
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FCA’s Retirement Outcomes Review – comment
A selection of comments regarding the FCA’s Retirement Outcomes Review: Stephen Lowe, group communications director at specialist financial services company Just Group,…
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