September 2017
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Latest - REGULATION / COMPLIANCE

  • Rory Percival publishes guide to risk profiling tools

    13 September 2017

    Rory Percival has published his much awaited report on the capabilities of the major risk profiling tools in the market and raised concerns around the tools’ limitations and “significant differences” in mapping asset allocation. Rory Percival has published his new report – An ex-regulator’s guide to risk proofing tools – as an independent follow up to the concerns raised by the...

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  • Preparing for GDPR

    6 September 2017

    GDPR will bring in greater responsibility for firms around personal data – and tougher fines for non-compliance. What is that going to mean for financial advice firms? The demands placed upon financial advice firms regarding their use of personal data are set to increase in May 2018 with the introduction of the General Data...

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  • Four pillars of DFM due diligence

    2 September 2017

    In the first of two articles, Andrew Denham-Davis of Brooks Macdonald looks at processes that can help paraplanners improve due diligence on their discretionary fund manager partners One of the key motivations for advisory firms deciding to partner with discretionary fund managers (DFMs) is the increase in time and resource that in-sourcing DFM services...

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  • Pensions cold calling ban welcomed but more urgency needed to implement it

    24 August 2017

    The Department for Work and Pensions and HM Treasury has confirmed in the Pension Scams: Consultation Response that the government will be proceeding with a ban on cold calling. However, no clear timetable was announced which has led to calls for more urgency from government to get the ban in place. Guy Opperman, minister for pensions...

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  • Industry disconnect seen as cause of DB pension transfer delays

    10 August 2017

    Standard data set and automated transfer solutions would formalise the information required and help speed up DB transfer process, says Origo. New research from Origo has highlighted how the significant increase in demand for DB transfers has led to processing issues throughout the transfer process, creating delays for pension scheme members and frustrations for...

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  • Regulation: Client reporting under PRIIPs and MiFID II

    8 August 2017

    Mikkel Bates, regulatory consultant at FE, looks at the changes coming in under PRIIPs and MiFID II in 2018 and how they will affect the material and information that needs to be provided to the client.   There are now around five months until the live date for PRIIPs and MiFID II, so how...

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  • Pension Regulator shows “it has teeth” with auto-enrolment crackdown

    7 August 2017

    Punter Southall Aspire has flagged the increased number of inspections by the Pensions Regulator (tPR) and the use of its powers “to crack down on firms whose auto-enrolment schemes were found to be non-compliant“ and the need for companies to review and audit their schemes on a regular basis. The Pension Regulator’s latest figures...

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  • Data protection rules changes under GDPR

    31 July 2017

    Geoff Buck, associate director, DP Pensions, looks at the impact of next year’s General Data Protection Regulations for advisory firms and the providers with  which they deal. Data protection as we know it is changing. And the impact of the changes are considerable. Until now we have come to live by the principles of...

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