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Latest - REGULATION / COMPLIANCE

  • New technology ‘crucial’ to SIPP/SSAS sector

    1 October 2020

    Dentons Pensions says new technology will play a crucial role in driving the SIPP and SSAS sector forward as the Covid-19 pandemic continues to impact the way people interact with their finances. The pensions specialist said consumers want to feel “informed and in control” of their savings and investments, creating an opportunity for SIPP...

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  • Saving clients from scams

    27 September 2020

    What should financial advice firms do if they suspect an investment a client wishes to invest in may be a scam? Steve Bailey, director ATEB Consulting, provides a view using a case study example. Scams are a scourge of the modern age. Of course, scammers and scams have probably existed for as long as...

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  • Investment view: New normal for property market?

    27 September 2020

    Intelligent Pensions’ investment director Douglas Kearney looks at the how property investment might progress faced with UK economic concerns, regulatory proposals and the ongoing Covid-19 crisis. As we head into Autumn, markets continue to surprise. The turmoil of March has been repaired across many global markets, although the UK continues to be the straggler...

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  • Five compliance-friendly tips for estate planning

    21 September 2020

    Jo Smith, Compliance consultant, JSCS, offers some key insights from a compliance perspetrivu when it comes to estate planning recommendations. Estate planning is a complex area. Over the past almost-30 years that I have been working in Financial Services, I have consulted on many such cases and have often seen how the decisions that need to be made can...

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  • Online scam numbers: Effective government action needed

    21 September 2020

    Quilter is calling for more action by government to prevent scams as its most recent Freedom of Information (FoI) request has revealed that less than 7% of pension fraud reports are being passed to the police, despite millions of pounds of retirement savings lost to scammers.  The FoI request by Quilter found that nearly 400...

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  • Leading platforms call on fund houses to join STAR initiative

    21 September 2020

    Four of the industry’s largest platforms – Aegon, Fidelity, Hargreaves Lansdown and Standard Life – have contacted their fund groups requesting they support the STAR Transfers & Re-Registration initiative. STAR, a collaboration between Criterion and TeX, was established to shape recognised, industry-wide standards to promote good practice in transfers, thereby to improving outcomes for...

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  • FCA Call for Input: six core questions

    16 September 2020

    The Financial Conduct Authority has launched a Call for Input as part of its drive to improve the consumer investment market, with six questions at its core.  In its latest paper, the watchdog said it was concerned that some consumers are led into making poor investment decisions and that there remains areas where the...

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  • Every-day procedures and robust technology needed to protect against cybercrime

    9 September 2020

     Financial advice firms need a combination of every-day procedures and robust technology to help protect their businesses against cybercrime and data breaches, according to Origo. The fintech says the extent to which cybercrime is prevalent within financial services has been brought home during the Covid-19 crisis as criminals have ramped up their attempts to...

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