July/Aug 2019


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  • MiFID II biggest headache for advice firms – while biggest opportunity is…

    17 July 2019

    The majority of advisers continue to find MiFID II requirements a challenge, a new poll by Intelliflo has found. At Intelliflo’s recent ‘Change the Game’ conferences in London and Manchester, 129 delegates were asked which regulations were giving their firm the biggest headache. Two thirds (66%) cited MiFID as the most challenging legislation, while...

  • Apricity launches resource area for SM&CR

    14 July 2019

    Apricity Compliance has launched a dedicated Senior Management & Certification Regime resources area to help firms prepare ahead of the FCA’s December deadline. The new initiative will provide a “variety of support” to advisers, ranging from workshops, implementation days, webinars and timeline checklists. The SM&CR Implementation days are aimed at firms who want more...

  • PASA publishes DB Transfers Guidance, including expected timeframes and Transfers Template

    11 July 2019

    The Pensions Administration Standards Association (PASA), the trade body established to set, develop, guide and assess administration standards for pension schemes and administrators, has launched a DB Transfers Guidance document. The Defined Benefit Transfers: A Guide to Good Practice sets out procedures and time frames to help speed up the process for individual pension holders...

  • GDPR – 7 areas where advice firms are still falling down

    7 July 2019

    GDPR, in the form of the Data Protection Act 2018, has been in place in the UK since 25 May 2018. With the one year deadline now passed, ATEB Consulting’s Steve Bailey takes a look at how well it has been implemented in advice firms and 7 issues the compliance firm is still encountering. GDPR...

  • MiFID II costs and charges spotlight could see platforms lose business

    29 June 2019

    Wealth managers and platform providers could start to lose business as the stringent MiFID II requirements turn the spotlight on costs and charges, a new research paper from analysts AKG and financial planning firm Netwealth has revealed. One in three (34%) of advisers expect clients to switch investment solution/ provider in the future and...

  • TDQ: Test Your Knowledge – Questions

    29 June 2019

    For Professional Paraplanner’s TDQ (Training, Development and Qualifications) series, we have teamed up with key support providers, such as Brand Financial Training, to provide our readers with the very best in training, development and exam support. This series aims to provide you with valuable advice and guidance materials to help you achieve your training...

  • TDQ: Test Your Knowledge – Answers

    29 June 2019

    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, which we posed...

  • Increased focus on investment suitability just one of challenges facing advice firms

    26 June 2019

    A combination of increased consumer protection, an ageing population and the digitisation of personal service are posing challenges and opportunities for adviser firms on an unprecedented scale, according to the CEO of Dynamic Planner.  Ben Goss said ensuring investment suitability will grow more important for advisers as the FCA and EU regulators continue to...