Compliance and regulatory matters

Expert insight to help you stay up to date with changing regulation

Making transfers simpler

In order to make transfers between platforms easier, the FCA are introducing some new rules from 1 February 2021. In future, platforms will be required to work together to find common share classes so that more in-specie transfers (re-registrations) can take place.

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Ensuring the fair treatment of vulnerable customers

A summary of the FCA’s Guidance Consultation GC 20/3

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Pension transfer advice: the new rules at a glance

A four-page summary of the FCA’s Policy Statement PS 20/6.

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PROD rules for advisers

A summary of the FCA's rules related to PROD 3: MIFID and PROD 4: Insurance Distribution Directive.

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The Senior Managers and Certification Regime

A summary of the FCA’s guide for solo-regulated advice firms.

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Pension transfer advice: contingent charging and other proposed changes

A four-page summary of the FCA’s Consultation Paper CP19/25.

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Retirement Outcomes Review

A four-page summary of the FCA’s Policy Statement PS19/21.

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Investment Platforms Market Study

A four-page summary of the FCA's Market Study MS17/1.

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Pension transfer advice - A summary of the FCA’s current guidance and rules

A five-page summary of the main areas covered by the FCA‘s Policy Statement PS18/20 on improving the quality of pension transfer advice.

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MiFID II

A closer look at fund transaction costs.

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