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Showing 1371 to 1380 of 2511 search results for pensions advice.

  1. Common misreporting errors: RMAR

    Tasks for regulated firms Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    Common misreporting errors: RMAR

  2. Decision Notice: Financial Page Ltd (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Financial Page Ltd (in liquidation)) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a public

  3. Using the assessment tool: DBAAT video transcript [pdf]

    Transcripts Published: 15/01/2021
    Defined Benefit Advice Assessment tool (DBAAT) training

  4. Final Notice 2022: Eternal Peace Funeral Plans [pdf]

    Final notices Published: 23/12/2022
    This final notice (Eternal Peace Funeral Plans Ltd) refers to a failure to satisfy threshold conditions (COND) in relation to a firm within the Funeral Plans sector. We refused the firm’s application for authorisation.

  5. Brexit: the FCA confirms final rules for firms

    Press Releases Published: 29/03/2019 Last modified: 29/03/2019
    The Financial Conduct Authority (FCA) has today published its final instruments and guidance that will apply in the event the UK leaves the EU without a deal or an implementation period.

  6. FSA - Customer File Reviews [pdf]

    Archive Published: 06/12/2007 Last modified: 03/08/2016
    This document is intended to help you consider the type of information you could get from reviewing a customer’s file. Think about your current process. Does it only act as a check for administrative errors or does it allow you to assess the

  7. Final Notice 2017: Clive John Rosier [pdf]

    Final notices Published: 05/10/2017
    This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and

  8. Ageing population and financial services

    Speeches Published: 16/10/2017 Last modified: 16/10/2017
    Speech by Linda Woodall, Director of Life Insurance and Financial Advice, delivered at the Ageing Population Occasional Paper launch event. 

  9. FCA publishes complaints data for the second half of 2012

    Press Releases Published: 14/04/2013 Last modified: 17/11/2021
    We have published the latest complaints data showing complaints to financial services firms between July and December 2012.

  10. List of pension scheme arrangements exempted from the clearing obligation [pdf]

    Published: 17/12/2020
    Pension Scheme Arrangements (PSAs) in the UK and EEA that are temporarily exempted from the clearing obligation under UK