Regulation

What is the FCA’s new DB advice assessment tool ‘DBAAT’?

The Financial Conduct Authority (FCA) has published a defined benefit (DB) transfer tool which it said should help firms understand its file review methodology for DB transfer advice. But what exactly is it and why should advisers care?

FCA action sees 130 firms quit DB transfer advice in 2020

Financial Conduct Authority (FCA) intervention resulted in 130 advice firms ceasing to operate in defined benefit (DB) transfer advice in 2020, the regulator has reported.

Jon Greer: Why advisers must ‘sit up and take notice’ of investment pathways

In February, there will be a fundamental change when a customer contacts their pension provider to access drawdown, writes Jon Greer. Here he explains why advisers must 'sit up and take notice' of investment pathways

Claire Trott: Starting the new year with a scam

Advisers have a key role to play in the fight against pension scams, writes Claire Trott. Here she outlines the major red flags to be aware of and outlines how to protect clients

FCA identifies 30,000 instances of unregulated activity in last 12 months

The regulator identified 30,000 instances of unregulated activity in the last year and needs more investment to better tackle pension scams, FCA executive director of enforcement and market oversight Mark Steward told MPs.

Rory Percival: Advisers should be able to enjoy a quiet 2021 from regulator

Regulatory guru and former FCA man Rory Percival has said he believes 2021 will be a much quieter year for advisers in terms of regulatory changes.

Helen Dean awarded CBE in New Year’s Honours for services to pension saving

Nest Pensions chief executive Helen Dean has been awarded a CBE for services to pension savings in the New Year Honours 2021.

Adrian Boulding: First steps along the ‘investment pathway’

The secret of a good strategic plan is to look through your initial targets and out beyond them, writes Adrian Boulding. Here he discusses drawdown investment pathways and why it will pay dividends to think long-term...

Jeremy Martin: With choice comes responsibility

Consumers have enjoyed five years of pension freedom but with choice comes responsibility, writes Jeremy Martin. Here he discusses the introduction of investment pathways...

Gareth James: Speak now (on consumer investment) or forever hold your peace

Gareth James looks at the FCA's call for input on the consumer investment market in his latest piece for RP. And in a first for the publication, quotes Leonardo da Vinci
 

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