Suitability
South Africa regulator bans investment firm directors
After the watchdog withdrew the company’s licence over breach of suitability requirements
UK regulator probes 125 advisory firms on suitability
Focusing on clients receiving advice on income in retirement
UK may not recognise cross-border suitability after Brexit
Firms will have to think about redoing suitability or repapering clients to the UK
Best Practice | 20 Jul 18
UK IFAs facing advice suitability review in 2019
The Financial Conduct Authority has outlined plans to re-assess the suitability of retail investment advice in 2019, according to its latest annual report.
Half of DB pension transfers unsuitable blasts FCA
The UK financial watchdog has strongly criticised defined benefit (DB) pension transfer advice saying that most of the recommendations made are unsuitable.