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

"In a world where people are ready to complain at a drop of a hat, I just felt it was appropriate to give credit where credit is due and on the whole I feel that SimplyBiz do a very good job."

Lawrence Hayward
Leicestershire

Read More

Latest News

"How turning a blind eye got us to where we are now"

July 18, 2018

It was not many years ago when it became virtually impossible for anyone to obtain PI cover at a reasonable premium. Such was the crisis that the then regulator, the FSA, turned a blind eye to the fact that over a thousand firms were trading without PI insurance.

Read more >

How to help clients create a lasting power of attorney - CPD article

July 16, 2018

Buzz Aldrin’s recent decision to sue his family for mismanagement of his finances has, quite rightly, reminded advisers across the pond that those appointed to make decisions on a client’s behalf need to be selected with the utmost care.

Read more >

Global markets are set up for stock pickers, say industry heavyweights at SimplyBiz Group Advice Show

July 10, 2018

Geopolitical changes are creating the ideal investment environment for stock pickers, according to industry experts speaking at the most recent Advice Show.

Read more >

"Hello, have you been mis-sold an accident claim?"

July 05, 2018

I am sure you will have been delighted to note that, at long last, the Financial Conduct Authority (FCA) is going to formally regulate the ambulance chasers.

Read more >