July/Aug 2019


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  • FCA keeps pressure on advice firms over DB transfers

    25 June 2019

    The FCA is keeping pressure on advisers to drive up the suitability of their defined benefit transfer advice, as it warned that too many firms were providing advice that was “not of an acceptable standard.” The regulator said it was concerned that large numbers of clients had been recommended to transfer out of their...

  • Harrison’s Apricity launches GROW – a CPD-focussed series of events

    23 June 2019

    Latest series of events is aimed at helping self-development and growth of adviser businesses Apricity Compliance has launched a series of CPD-focussed workshops entitled GROW, offering practical, usable and non-sales orientated content in line with the company’s ethos of making compliance a positive experience. The first seminar running in London on 27 June is...

  • CISI promotes level 7 amongst younger financial planners

    19 June 2019

    The Chartered Institute for Securities and Investment is urging young people who are following a career in financial planning to choose the global CFP certification.  The new certification, which has been restructured to raise CISI’s Diploma in financial planning from Level 6 to Level 7, will be the UK’s highest level qualification for financial...

  • STAR Steering Group commits to ‘galvanise the industry’ on pensions and investments transfers

    17 June 2019

    STAR, the industry initiative to improve outcomes for individuals wanting to transfer their assets, such as pensions and investments, held its inaugural Steering Group meeting, including 30 funding members and the FCA, and said it is determined to galvanise the industry into signing to the initiative, ahead of the next FCA platforms paper which...

  • FCA figures illustrate costs discrepancy between small and scaled up adviser firms

    16 June 2019

    Latest FCA figures show that smaller financial advice firms are contending with higher insurance premiums than their bigger counterparts. This illustrates the growing need for firms to scale up, suggests Canada Life.  According to the FCA figures, firms with less than £100,000 in revenues tend to spend 4% of their revenues on insurance, a figure...

  • What does the FCA’s Thematic Review on with-profits tell us?

    2 June 2019

    Guy Vanner, managing director, AKG, reviews the FCA’s recent paper on the fair treatment of with profits customers and looks at some of the implications. On 25 April the FCA published its long-awaited Thematic Review (TR19/3) of the Fair Treatment of With Profits Customers. It was the first Thematic Review of the with profits...

  • TDQ: Test Your Knowledge – Answers

    30 May 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...

  • TDQ: Test Your Knowledge – Questions

    30 May 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...