FCA
Displaying items by tag: FCA
Thursday, 20 July 2017 10:22
FCA fines compliance officer over 500 DB transfers
The FCA has fined a compliance oversight officer for pension transfer failings after about 500 customers with pensions worth £12.7million were advised to move from a DB to DC scheme.
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Wednesday, 19 July 2017 10:18
New pension transfers qualification as FCA tightens rules
The Chartered Insurance Institute is preparing the launch of a new pension transfers qualification following FCA plans to tighten the advice requirements for the transfer of safeguarded benefits.
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Wednesday, 12 July 2017 12:42
AJ Bell wants better pensions disclosure regime
AJ Bell, the Sipp and investment provider, has urged the Financial Conduct Authority to make the disclosure regime for pension and investment products clearer.
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Wednesday, 12 July 2017 10:15
Pension freedoms may be causing new problems, warns FCA
The Financial Conduct Authority has identified a number of pension areas where ‘intervention’ may be necessary following the introduction of the pension freedoms in April 2015.
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Monday, 26 June 2017 12:41
FCA plans make DB transfers ‘harder to justify’
A proposed shakeup of FCA guidance on DB pensions advice will make transfers ‘harder to justify’ and ‘more demanding’, an adviser firm claims.
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Friday, 09 June 2017 10:33
Pensions firm halts DB transfers advice after FCA talks
A pensions business is immediately halting advice on DB pensions transfers, following discussions with the regulator.
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Thursday, 01 June 2017 11:37
FCA tells advisers to inform clients on best annuity rates
Advisers will be asked to tell clients that the annuity they are being recommended may not produce the best annual income if the firm lacks details of all market rates.
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Friday, 31 March 2017 11:59
'Bring SSASs into the sphere of FCA regulation'
SSAS market- outright ban or just fix what is broken?
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Comment and Blogs
Tuesday, 28 March 2017 11:12
Sipp client fears as sector awaits FCA action over failing firms
Sipps professionals have expressed sadness and surprise, while also expressing fears for clients, after the FCA revealed four firms had failed over new capital adequacy rules.
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Monday, 27 March 2017 12:46
4 Sipp operators fail on FCA capital adequacy rules
The FCA has revealed that four Sipp operators have failed to meet the requirements of the new capital adequacy rules.
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