November 2017
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Latest - REGULATION / COMPLIANCE

  • MiFID II – expect no leniency from FCA firms warned

    1 October 2017

    Firms must not expect the FCA to show leniency around the MiFID II requirements and should focus on meeting the January deadline, warns BNY Mellon’s Pershing. With just 100 days until MiFID II comes into force, there is an indication within the industry that some firms will struggle to complete all the requirements in...

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  • FCA approves CISI level 6 Pensions Transfers certificate

    26 September 2017

    The Financial Conduct Authority has formally approved a new pension transfers qualification by the Chartered Institute for Securities and Investment (CISI), amid growing demand for advice in this area. The Level 6 Certificate in Pension Transfers and Planning Advice, aimed at financial planners and wealth managers looking to specialise in this area, is already...

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  • Intelliflo research shows adviser firms ill prepared for GDPR

    25 September 2017

    The majority of adviser firms run the risk of failing to meet the deadline for complying with the incoming General Data Protection Regulation (GDPR), a new survey by Intelliflo has revealed. Advisers have until 25 May 2018 to comply with the new EU data rules, which will place greater requirements on advisers than the...

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  • Cathi Harrison refreshes Para-Sols brand and preps launch of new compliance service

    24 September 2017

    Para-Sols founder Cathi Harrison has given the Para-Sols brand a fresh look as she gets set to bring a new compliance service to the market. The reason for the brand refresh, which includes a new website outlining the full service it offers adviser firms, Harrison said, is that recent changes to the firm, bringing in dedicated...

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  • GDPR causing upsurge in compliance hiring among UK businesses

    21 September 2017

    Research from leading recruitment specialist Robert Half UK has revealed that two-thirds (66%) of CIOs will hire additional, permanent employees to cope with the introduction of the EU’s General Data Protection Regulation (GDPR) next year. A further 64% of CIOs will hire temporary or interim staff to ensure they have the highly-skilled talent in place...

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  • 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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