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Showing 1121 to 1130 of 2511 search results for pensions advice.
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Recruiting, training and supervising staff
FCA provides information on recruiting, training and supervising staff. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
REP025 data item: FAQs
Find out more about how to complete REP025, for on-going reporting of complaints and revenue data by principal firms on their appointed representatives (ARs) and introducer appointed representatives (IARs). -
How to claim compensation if a firm fails
If a financial firm goes out of business and owes you money, you may be able to claim compensation. Find out what steps you should take to get your money back. -
Client assets: RMAR
Read more about completing returns in Gabriel for client assets: RMAR -
Consumer credit - Sales and advice video transcript [pdf]
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Decision Notice: Aiden Henderson (Director of HCA) [pdf]
This decision notice (Aiden Henderson (Director of HCA)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that -
Final Notice 2017: David Samuel Watters [pdf]
This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector. -
Support during challenging times
As part of Mental Health Week 2023, Laura Dawes talks about her experience of living with anxiety. -
Adviser numbers in line with expectations
The Retail Distribution Review (RDR) set out to do this with new rules on investment advice, which set standards of professionalism to inspire consumer confidence and build trust. ... Today’s figures show that those looking for financial advice still