November 2017
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Latest - REGULATION / COMPLIANCE

  • 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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  • Retirement Outcomes Review ramifications will be widely felt

    26 July 2017

    Martin Tilley, director of Technical Services, Dentons Pension Management is urging everyone to participate in the FCA’s Retirement Outcomes Review  Recently the Financial Conduct Authority (FCA) published the interim findings of its Retirement Outcome Review.  This is a study into the retirement income market and how this has changed since the introduction of pension...

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  • Bankhall launches new mortgage, protection and GI compliance solution

    20 July 2017

    Bankhall has launched a new enhanced compliance support solution for directly FCA authorised firms, with the aim of helping firms adapt to greater regulatory scrutiny in the mortgage, protection and general insurance (GI) market. The core package includes access to Bankhall’s regulatory experts and face-to-face compliance audits to help firms strengthen their systems and controls....

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  • FCA highlights three key areas for Platform Market Study

    18 July 2017

    The Financial Conduct Authority (FCA) has published the Terms of Reference for its Investment Platforms Market Study, which sets out the scope and topics that will be covered. The Regulator said the increased use of platforms by consumers and financial advisers to access retail investment products and to manage investments had seen a rise...

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