February 2018
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Latest - REGULATION / COMPLIANCE

  • Suitability reports under MiFID II

    17 December 2017

    Steve Bailey, director of compliance firm ATEB Consulting, points to three key areas paraplanners should be aware of when delivering suitability reports under MiFID II rules MiFID II, which comes into effect from 3 January 2018 covers a lot of ground and will require many firms to make changes to advice processes. Suitability reports are one...

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  • MiFID II – Conflicts of interest

    14 December 2017

    The implementation of MiFID II forces firms to review the majority of their policies and processes. Although firms will already have clear COI policies in place, there will be at least one key change to consider under MiFID II’s enhanced requirements. Conflicts of Interests: Article 23 and 16 (3) The Level 1 (high level)...

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  • MiFID II – Transaction Reporting: Part I: Legal Entity Identifiers (LEIs)

    12 December 2017

    Transaction Reporting is one of the areas changing most under MiFID II, with forthcoming amendments and additions set to impact both front and back office practices. Just to place some scale on the changes, as it currently stands the number of reporting areas under Transaction Reporting will increase from 24 to 85 under MiFID...

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  • Summary of key MiFID II areas

    7 December 2017

    MiFID II provides one of the biggest regulatory challenges the UK wealth management industry has faced in recent years. Its implementation will impose new mandatory requirements on firms within the industry, increasing their ongoing workloads. In this article,Claire Bennison, director, head of Services and Product Development, Brooks MacDonald, provides high level summaries of some of...

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  • Suitability: Pension transfers for death benefit reasons

    4 December 2017

    ATEB Consulting’s Steve Bailey shares an expert view and ATEB’s own experience and perspective as a compliance consultant, on this common reason for transferring out of a pension scheme.    The possibility of leaving funds to the next generation is often one of the reasons given in a suitability report for an individual wishing to...

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  • DECEMBER 2017 ISSUE OUT NOW!

    29 November 2017

    Welcome to the December 2017 issue of Professional Paraplanner – our final issue of the year. We have a cracker of an issue for you. CLICK HERE to read the digital version. Within its pages are: Paraplanner profile Rob Kingsbury talked to Kirsty Stone, CISI Paraplanner of the Year 2017, about being a Law...

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  • Final salary transfers – 7 key areas of focus

    23 November 2017

    The ‘right’ decision on a DB pension transfer could be different with 20 or 30 years’ hindsight, which means how adviser firms approach each case now is crucial, says Andrew Tully, pensions technical director, Retirement Advantage. The numbers of people considering transferring their final salary benefit is currently one of the most talked about...

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  • CISI warns on FCA Approved Persons Register decision

    19 November 2017

    The Chartered Institute for Securities & Investment (CISI) has warned that the FCA’s decision to abolish the Approved Person’s Register could harm consumers. In response to the FCA’s consultation as to whether the identity of people performing Certification Functions should be made public by the firms who employ them, the CISI cautioned that firms...

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