There are 5 item(s) tagged with the keyword "Compliance".

Displaying: 1 - 5 of 5

1. SM&CR: Prescribed Responsibilities

The latest in our ‘plain English’ guide to Senior Managers, Richard Nuttall looks at the regimes prescribed responsibilities 

Tags: SM&CR, Compliance
2. SimplyBiz Group strengthens compliance support with hires from Sesame Bankhall

The Group is delighted to welcome Elaine Parkes and Paul Bruns on-board (and congratulate to Richard Nuttall and Mark Greenwood on their recent promotions).

Tags: SimplyBiz Group, Compliance
3. 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
4. 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
5. 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 - 5 of 5

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