1474 briefings from 399 companies
Regulation - Briefings related to Regulation
The need for a sustainable retirement income has not been removed by Pension Freedom, but with freedom also comes responsibility to choose the right options. This Breakfast Briefing explores the opportunities for financial advice in the new retirement landscape. Click download for more information.
Published:04 March 2015
George Osborne himself described the changes to the pensions regime as “the most far-reaching reform to the taxation of pensions since the regime was introduced in 1921”. This paper explores how some of these changes have opened up opportunities for advisers and their clients.
Published:09 February 2015
Over the summer the government issued its response to the consultation on freedom and choice in pensions, shortly followed by draft legislation. HMRC also provided further guidance on transitional issues. The key points are outlined in this paper.
Published:06 October 2014
This FCA guidance addresses the potential for adviser remuneration to distort the advice consumers receive. It is relevant to all providers of retail investment products to be sold by advisers and any advisory firm providing personal recommendations in relation to retail investment products.
Published:12 March 2014
Professional indemnity insurance, commonly known as PII, provides protection for a firm against claims emanating from a third party which arise out of the conduct of their professional business. Geared towards financial advisors, this whitepaper provides a guide to professional indemnity.
Published:10 October 2013
Investment managers should invest a significant portion of their investible wealth and total remuneration alongside that of their investors, in order to bring clients’ interests into line with their own, according to a new report by the prominent London and Paris based financial services think tank,
Company:New City Initiative
Published:28 August 2013
The Retail Distribution Review is nearly upon us and it certainly has been a long time coming. Committed to helping advisers transition their business as efficiently as possible to whichever business model they have decided is best for them and their clients in the post-RDR world, Threadneedle have
Company:Protected Product Review
Published:08 October 2012
Predicting the next mis-selling crisis has always been a difficult task and FSA have accepted that they will never achieve this. Instead, they are opting for a more aggressive and interventionist model which seeks to prevent major mis-selling scandals in the future.
Published:06 June 2012