May 2018
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Latest - REGULATION / COMPLIANCE

  • Intelliflo and Brookland Computer launch GDPR toolkit

    21 February 2018

    Intelliflo has joined forces with Brookland Computer Services to create a GDPR toolkit, designed to help advisers and paraplanners meet the requirements of the new regulation. The toolkit provides a detailed overview of all aspects of GDPR, which will come into force on 25 May 2018, and offers advice and checklists to guide adviser...

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  • Hands off our pension freedoms, say consumers

    15 February 2018

    Pension savers do not want the government to curb pension freedoms, according to new research by Aegon.  In response to the Work and Pensions Select Committee hinting at recommendations to restrict the pension freedoms, 72% of people said they believe the freedoms help the transition into retirement. Only one in four said they would...

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  • Pensions Dashboard can deliver significant benefits ‘if we lay firm foundations’, says new Origo MD

    14 February 2018

    Pensions Dashboard is an exciting prospect for UK financial services and FinTech providers like Origo, that are able to deliver the technology to make Dashboard happen and to help develop it further in the years to come. But the industry first has to lay the firm foundations on which to build the service, says...

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  • Regulatory changes to annuity quote requirements

    13 February 2018

    ATEB Consulting director Steve Bailey looks at recent changes required by the FCA when providing annuity quotes to clients – effective from 1 March 2018. The FCA has been carrying out a series of reviews and enhancements to the annuity market that started in 2014 with the thematic review of annuities. The review work...

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  • Online directory offers free listing for 2018

    12 February 2018

    AdviserBook, the online directory for advisory firms, is offering a listing free of charge throughout 2018, as founder Ray Adams looks to develop a community of “engaged advisers” and help prevent the public being duped by scammers posing as advisers. Adams, director of Newport-based Niche IFA, founded the service in 2017. AdviserBook describes itself...

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  • Paperwork… tell me honestly, do we actually need it all?

    6 February 2018

    Richard Philbin, chief investment officer, Wellian Investment Solutions, says he understands the need for compliance and appreciates the role of his compliance officer but he bemoans the mountain of paperwork under which the financial services industry suffers.  My daily commute consists of a short walk to the local train station, a 25 minute train...

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  • 12 pet hates of a file reviewer

    23 January 2018

    ATEB Consulting’s Steve Bailey presents a few of the more common issues that the compliance firm discovers in adviser files. One of the services we provide for many clients is reviewing client files, either as the primary reviewer or as an external check on reviews done in house. As you can imagine, we are all...

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  • FSCS puts 3 SIPP operators in default

    21 January 2018

    The Financial Services Compensation Scheme (FSCS) has declared three SIPP operators in default, on the basis that they are unable or likely to be unable to satisfy protected claims against them. This follows the FCA highlighted concerns in the SIPP market relating to due diligence failings. The FSCS has received approximately 150 claims against...

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