by Tony Catt | Nov 3, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Guidance on suitability reports November 2016 how to write better suitability reports The matter of suitability letters/reports has exercised the minds of advisers over the years. For some, they are a necessary evil to satisfy compliance. For better advisers, they...
by Tony Catt | Sep 12, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Training and Competence September 2016 The Continuing Professional Development (CPD) has become a major part of an adviser’s life. The standards of CPD – an adviser must undertake 35 hours per year of relevant training, of which 21 hours must be structured...
by Tony Catt | Aug 30, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Financial Services Compensation Scheme August 2016 FSCS Levy The FSCS is funded by the financial services industry. Every firm authorised by the UK regulators is obliged to pay an annual levy, which goes towards the running costs and the compensation...
by Tony Catt | May 4, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
FCA Guidance on pension freedom and insistent clients May 2016 Understand our position on insistent clients, following the pension reforms in 2015. The Handbook does not refer to insistent clients and there are no rules or guidance specifically about this. In...
by Tony Catt | Apr 26, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Networks April 2016 Networks have serious legacy issues from bad advice in the past Q. Networks have serious legacy issues from bad advice in the past. How has this arisen, and is it simply a case of the goal posts being moved, or has it simply taken this long to...
