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This blog comments on key developments as they occur, legal and regulatory issues as they arise, and ones that are relevant to every financial services specialist.

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Blog

FOS and the Adams v Carey decision – where are we as the Court of Appeal hearing starts?

Topic: Financial Services Regulatory and Risk 02.03.2021 Read more
Blog

Calls for increased regulation following rise in FSCS bills

Topic: Financial Services Regulatory and Risk 11.09.2020 Read more
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Blog

FCA appoints new CEO

Topic: Financial Services Regulatory and Risk 25.06.2020 Read more
Blog

Equity Release Market Under the Spotlight

Topic: Financial Services Regulatory and Risk 18.06.2020 Read more
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Blog

FCA advice checker – FCA statement on what customers should look out for in DB transfer advice

Topic: Financial Services Regulatory and Risk 11.06.2020 Read more
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Blog

The future of DB transfer advice - the FCA's policy statement

Topic: Financial Services Regulatory and Risk 10.06.2020 Read more
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Publication

HKEX published additional guidance specific to biotech companies

Topic: Financial Services Regulatory and Risk 10.06.2020 Read more
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Blog

DB Transfers – the FCA's views on good and bad practice

Topic: Financial Services Regulatory and Risk

Published by Rachael Healey, Partner

Continuing our blog series, one of the documents produced by the FCA on Friday was a guidance consultation document intended to meet requests from the industry to help advisers understand the FCA's expectations when advising on pension transfers and conversions. The document includes examples of the FCA's views of good and bad practice in the area of defined benefit pension transfers (DB transfers). The stated aim is to "improve the suitability of DB transfer advice" and "to give advisers confidence to give good advice". The FCA expects firms providing DB transfer advice to read the document and once finalised it is intended that firms use it to identify any weaknesses in their existing processes.

09.06.2020 Read more
Blog

DB transfers – further findings from the FCA's supervisory review

Topic: Financial Services Regulatory and Risk 08.06.2020 Read more
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Blog

Update on the FCA's review of Defined Benefit transfer advice

Topic: Financial Services Regulatory and Risk

Published by Zoe Melegari, Associate

The FCA has been looking to improve the quality of pension transfer advice for some time now. However, despite the crackdown on defined benefit transfers being announced as a strategic priority earlier this year, it appears that factors, such as Covid-19 have put the FCA's investigations into advice suitability on the back foot – for now, at least.

21.05.2020 Read more