There are 4 item(s) tagged with the keyword "Compliance".

Displaying: 1 - 4 of 4

1. 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
2. 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
3. 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
4. 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 - 4 of 4

Testimonials

“We have nothing but praise for the entire team at SimplyBiz. With their guidance we were able to go directly authorised and are so glad we did, as we have never looked back. The service we receive is impeccable and our business receives great value for money.”

Chris Pratt
Nottingham

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Latest News

Richard Ardron: Keeping pace with the modern client

February 12, 2019

Have the fundamental needs of clients changed? Or is it simply a case of evolving expectations and, as a result, changes in attitudes and behaviours?

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SimplyBiz Group named Best Support Services For Advisers at Professional Adviser Awards

February 07, 2019

The Group was delighted to receive the honour for the second consecutive year at the awards ceremony on the 7th February. 

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Ken Davy: How education can keep scammers at bay

February 06, 2019

With the sophistication of financial services scams, particularly those on social media, increasing, Group Chairman Ken Davy discusses why knowledge is power when it comes to protecting your clients.

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Ken Davy: Proof that the new FOS limits are not fair

January 23, 2019

Chairman Ken Davy has a closer look at one of FOS’ latest rulings, and discusses why he believes it defies both common sense and the law!

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