Latest News & Blog

There are 3 item(s) tagged with the keyword "Compliance".

Displaying: 1 - 3 of 3

1. The new HMRC Trust Registration Service - what advisers need to know

The new HMRC Trust Registration Service - what advisers need to know

Tags: FCA, Compliance, HMRC
2. Update on Equity Release qualification and permission

Towards the close of 2016, the FCA released a Consultation Paper (CP16/24) looking at the possibility of investment and pension firms without mortgage permissions being able to advise on the equity release market provided they had an adviser who passed either a standalone qualification or a top-up to existing pension and investment qualifications.

Tags: FCA, Compliance, Equity Release
3. Richard Nuttall: Enigma! Decoding the upcoming capital adequacy requirements

Although new changes to the capital adequacy rules do not take effect until 30 June, Richard Nuttall strongly recommends firms review their financial position at the earliest time possible in case action is needed.

Tags: Compliance
By Richard Nuttall

Displaying: 1 - 3 of 3

Testimonials

"I left Sesame December 31st 2010 and took up Direct Registration with FSA. My Compliance is now handled by SimplyBiz.

"Firstly, you need to understand that Sesame may not tell you the truth with regard to 'the world outside Sesame' - I would suggest to you that you should believe nothing. If you leave they lose a stream of revenue. They may tell you that the FSA will be making it harder for small businesses operating outside the sphere of the network. Do not believe them.

"What are the advantages of direct authorisation? I'm no longer being treated as lowest common denominator. I have scope to use wider range of research tools. I've seen a twofold plus increase in my written business (it is growing annually.) I receive top class support services, positive meetings for members and have a more positive attitude to business.

"My advice to advisers at the time (the ones I came into contact with anyway) was to exit Sesame at the earliest opportunity and this advice remains still."

Colin Palmer
Colin Palmer Financial Services
 

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Latest News

SimplyBiz to launch end-to-end investment advice system

January 19, 2018

SimplyBiz Group is to launch an end-to-end financial planning system, Centra, to provide support to advisers throughout the investment advice process.

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"Product providers can help reduce the FSCS levy"

January 17, 2018

I make no apology for returning to the subject of the Financial Services Compensation Scheme (FSCS), as the deadline for responding to the Financial Conduct Authority's (FCA) consultation paper is the end of January.

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Adam Tyler to lead new trade body FIBA

January 15, 2018

The Financial Intermediary & Broker Association, which evolve from the Association of Bridging Professionals, has appointed Adam Tyler as its Chairman.

 

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"It's time to put pen to paper on the FSCS levy"

January 10, 2018

The first thing I want to highlight is the opportunity you have right now to help stop the grotesque injustice of the current system of Financial Services Compensation Scheme (FSCS) funding.

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