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Latest - REGULATION / COMPLIANCE

  • Pension transfer: Considering a workplace pension

    11 April 2021

    ATEB Consulting’s Steve Bailey examines why and how Paraplanners should consider a workplace pension in a pension transfer recommendation. Firms involved with pension transfer business will know that there is a requirement to consider an available workplace pension (WPS) as the destination for any transferred funds. If the recommendation is to transfer to an alternative proposed arrangement,...

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  • Data Protection changes post Brexit

    31 March 2021

    ATEB Consulting’s Steve Bailey examines the effect of Brexit on the UK’s Data Protection rules and the exchange of data between the UK, the EU, adequacy regulations and easing information between companies in the same group. On 25 May 2018, the Data Protection Act 2018 came into force and represented the UK’s adoption of the EU’s General Data Protection Regulation...

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  • electronic documents, files, bureaucracy

    Call to put past performance on PRIIPs KIDs

    31 March 2021

    Fund groups favour inclusion of past performance disclosure on packaged retail and insurance-based investment products key information documents (PRIIPs KIDs), according to research from FE fundinfo. UCITS management companies have nine months before they must fully comply with the PRIIPs Regulations. The report published by FE fundinfo reveals that more than 75% of fund...

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  • FCA publishes Pensions Transfers Finalised Guidance

    30 March 2021

    The FCA has published its Finalised Guidance for financial advice firms undertaking pensions transfers. The 91-page document can be accessed here. The Regulator said it’s view remained that “it is in the best interest of most consumers to stay in their DB pension”. “Where an individual seeks advice to transfer, we expect firms to...

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  • Advice firms urged to keep trust details as TRS delayed further

    25 March 2021

    WAY Investment Services has urged advisers to hold on to trust details as HM Revenue & Customs announced further IT delays to the upgrading of its Trust Registration Service. As part of the EU Fifth Anti-Money Laundering regulations that came into force in January 2020, the number of trusts needed to register with the...

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  • TDQ: TEST YOUR KNOWLEDGE: ANSWERS

    25 March 2021

    As part of our Training, Development and Qualifications (TDQ) series, Professional Paraplanner has teamed up with key training and exam support providers to help you to, amongst other things, revise for your qualifications. Below you will find also the cross-references for the 10 questions in this month’s TDQ: Test Your Knowledge, provided by Brand Financial...

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  • TEST YOUR KNOWLEDGE: QUESTIONS

    25 March 2021

    Professional Paraplanner’s TDQ (Training, Development and Qualifications) series, is run in conjunction with key support providers, such as Brand Financial Training, and aims to test your knowledge of the financial services market, as part of  your overall training goals and exam techniques. The following questions, which can also be found in our April 2021 issue, relate to examinable...

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  • Your April 2021 Magazine is live

    24 March 2021

    Are you signed up to the Professional Paraplanner daily website alert? For more technical, tax, pensions, investment, retirement, protection and paraplanner community news and analysis, and to keep up with the latest in our series of Technical Insight and Investment Committee Webinars, SIGN UP HERE. We issue one email a day, at 8am. ACCESS...

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