February 2018
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Latest - REGULATION / COMPLIANCE

  • 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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  • 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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