The FCA has published the DB advice assessment tool they used to conduct their recent pension transfer reviews, and recommends firms use it to understand how suitability should be assessed in this area of high regulatory scrutiny.
The Senior Managers & Certification Regime (SMCR) will come into force for directly authorised advisory firms on 9th December 2019, but what does this actually mean for firms? Gillian Weatherill, Tenet's Head of Risk & Policy, outlines some key areas that firms will need to consider.
The IDD comes into effect from 1st October 2018 and applies to all businesses involved in the insurance supply chain. In this blog, our Head of Policy, Simon Thomas, outlines five key changes that advisory firms need to be aware of.