All CPD content
What are the implications of the FCA’s business plan?
- List what the FCA covers regarding Brexit, Mifid II and duty of care in its business plan.
- Identify what the regulator notes around technological innovation and data ethics.
- Describe what the FCA sets out about combating financial crime.
Senior Managers and Certification Regime: are you resilient?
- Describe how to ensure there is accountability in advice companies for the resilience of operational services ready for SMCR.
- List what to do to mitigate risks from outside the company.
- Identify the cyber risk to the business and prepare for it.
Regrets, refunds and the relevance of contribution paid dates
- Describe how the refund of excess contributions lump sum works and what is considered a genuine error.
- Identify the date contributions are paid for tax purposes and how different payment methods are treated.
- List what advisers need to know about pension savings statements.
Guide to suitability and duty of care
- Describe what the regulator expects from advisers around duty of care and suitability.
- List what has happened in global markets and why clients might be concerned.
- Identify how to deliver financial solutions that meet client needs against this backdrop.