November 2017
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Latest - REGULATION / COMPLIANCE

  • How might the General Election affect our pensions, tax and investments?

    5 June 2017

    Rachel Vahey, product technical manager, Nucleus looks at the manifestos of the main political parties and what they are saying around pensions, tax, savings and investments.  In the crucial run in to the General Election, most of the major parties have now published their manifestos, giving us vital information on how the savings and investment...

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  • FCA decision on standalone equity release qualification goes against grain of market

    11 May 2017

    The FCA’s decision not to create a standalone equity release qualification for advisers has been seen as moving against current attitudes towards funding retirement. In Policy Statement PS17/11 Review of the FCA’s appropriate qualification exam standards the Regulator said that consideration of the standalone qualification was a result of concerns raised that adviser firms were...

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  • Report Writing

    1 May 2017

    Andrew Denham-Davis of Brooks Macdonald looks at partnering with discretionary fund managers why adviser firms are best placed to assess suitability of investments, and shares insights from Kim Bendall, director at The Paraplanners, on how to optimise suitability reports At Brooks Macdonald, we believe it is the responsibility of the professional adviser to assess...

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  • Dealing with the shift in tectonic plates in the pensions world

    24 April 2017

    Two years after: Tom Selby, senior analyst at AJ Bell, looks at five trends that have come out of the Pensions Freedoms and asks how concerned should we be? The world has changed beyond all recognition in the past two years. The UK has begun what is likely to be a long and tiring...

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  • ATEB launches risk profiling tool to address ATR and CFL profiling issues

    10 April 2017

    Outsourced compliance company ATEB has launched a tool to address the ongoing issues it sees in adviser firms’ attitude to risk (ATR) and capacity for loss (CFL) profiling processes. Steve Bailey, director of ATEB Consulting, says that every FCA thematic review and paper related to suitability since FG11-05 has reported that problems with risk...

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  • Could QROPS rules changes benefit SIPPs?

    5 April 2017

    Nigel Bennett, sales & marketing Director, InvestAcc has a view. The surprise announcement in the Spring Budget surrounding Qualifying Recognised Overseas Pension Schemes (QROPS) has led to many predicting the demise of the overseas pension transfer. This was somewhat of a knee jerk view as there will still be a market for QROPS transfers...

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  • Challenges ahead for the SIPP market

    4 April 2017

    Consolidation and polarisiation in the SIPP market is giving paraplanners less choice in where to place client money. We need to maintain choice and innovation, argues Paul Darvill, administration and technical director, Talbot and Muir It is safe to say that there hasn’t really ever been a dull day in pensions, well not since...

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  • Two things that are really annoying about the LTA

    29 March 2017

    Pension planning is far from simple particularly as people move from DB to DC schemes, which is where they can be caught out, says AJ Bell’s Mike Morrison. From a pension planning perspective the Lifetime Allowance (LTA) and the Annual Allowance (AA) have moved from complexity to complexity and as I talk to advisers...

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