by Tony Catt | Mar 4, 2019 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Firm culture in financial service March 2019 I have some experience about the different cultures that are operative in IFA firms and networks and larger institutions. The differences can be quite illuminating. Culture in financial services is widely accepted as...
by Tony Catt | Mar 3, 2019 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Investing for income – compliantly March 2019 There are two traditional choice of investment strategy – for growth or for income. The other most common issue is the lack of detail about client expenditure. Many advisers find this quite difficult as it can be...
by Tony Catt | Dec 4, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
How to conduct a FIT assessment December 2018 Annual assessment of personnel The Senior Managers and Certification regime (SM&CR) was introduced in 2015 and has been in force for banks, building societies, credit unions and PRA-designated investment firms...
by Tony Catt | Oct 16, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Portfolio Management – a valuable client service October 2018 This is one of the main services offered by advisers to clients. There are several levels of provision that are available. Outsource to a Discretionary Fund Manager. Use providers’ portfolio funds –...
by Tony Catt | Aug 16, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Platforms – the disease or the cure? August 2018 Good for the adviser administration and a cheaper and better service for clients. The FCA reviewed how platforms were used and expressed concern about provider bias and adviser independence if only one platform was...
by Tony Catt | May 3, 2018 | Catt's Eye View - Historic .PDF, Financial Services - Articles
FCA Platform Review May 2018 Investment Platforms Market Study (IPMS) The Investment Platforms Market Study (IPMS) was launched in July 2017. The FCA wanted to explore how investment platforms compete to win new consumers and retain existing ones to help it assess...
