by Tony Catt | Jan 12, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Transferring out of defined benefits pension schemes 12 January 2017 From compliance no-no to acceptable advice in one leap As far as the FCA is concerned, this issue still represents such a high risk that advisers are expected to retain pension transfer files...
by Tony Catt | Jan 2, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Investment Due Diligence January 2017 This article was written in January 2017 This article was written in September 2017. It is covering investment due diligence that advisers should be undertaking when advising clients. Read the PDF...
by Tony Catt | Dec 12, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
DB Schemes December 2016 DB Schemes – should I stay or should I go? DB schemes are still the most valuable retirement planning vessels. The guaranteed benefits are more valuable than any other type of pension currently available. It is unlikely that...
by Tony Catt | Dec 5, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
FCA year 2016 December 2016 On looking at the FCA website, there have been 24 policy statements in 2016. On looking at the FCA website, there have been 24 policy statements in 2016. These have covered a range of subjects including credit unions, UCITs V...
by Tony Catt | Dec 3, 2016 | Catt's Eye View - Historic .PDF, Financial Services - Articles
The Advice Process – building a solid base December 2016 From the FCA Positve Compliance Live & Local series This was the London leg of the FCA Live & Local tour around the country that has taken most of the year and will be carried forward into the...
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...
