Training and Competence

FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers

Of relevance to: All firms advising on pension transfers, those acting as pension transfer specialists, pension providers, and organisations providing software for pension transfer advice Key dates: 1 April 2018 […] [...]

The publication CP12/8 ‘Changes to the Training and Competence Sourcebook’ proposes to add three qualifications to the ‘appropriate qualifications tables’ in the Training and Competence (TC) sourcebook as well as […] [...]

Competence & Ethics

The FSA has released policy statement PS10/18 (‘Competence and ethics’) which was a follow up to the similarly named consultation paper CP10/12 – see Regulatory Roundup 16 for further details. […] [...]

Competence

The FSA has released CP 10/12 – “Competence and ethics”. The Code of Practice for Approved Persons (APER) will have some amendments, chief of which will be the addition of […] [...]

Exams

If your firm has set the Investment Management Certificate as an exam determinant in connection with SYSC5.1 (“A firm must employ personnel with the skills …” etc.) then a reminder […] [...]

Tag: Training and Competence

FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers