by Tony Catt | Sep 3, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Senior Manager & Certification Regime (SM&CR) – what about the little people? 1 September 2017 The introduction of the Senior Managers & Certification Regime (SM&CR) . The aim of the new SM&CR is to reduce harm to consumers and strengthen...
by Tony Catt | Aug 25, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Compliance – not regulated – really? August 2017 All advisers are subject to compliance and in regular contact with a compliance practitioner of some description. Advisers live in a world where regulation is king and many are almost paranoid about doing the...
by Tony Catt | Aug 2, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
FCA consultation paper CP 17/24 Information about current accounts August 2017 Consideration of current accounts There have many quite a few interesting consultation papers released by the FCA recently. Dealing with a wide range of subjects. Some have been...
by Tony Catt | Jun 3, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Client reviews June 2017 Client reviews are probably more important than the original business written This is quite a hot issue. The FCA has undertaken a thematic review, following RDR, relating to the full advice process. This starts with Initial Disclosure...
by Tony Catt | Mar 15, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Property Funds Revisited March 2017 Property is a deceptively diverse asset class but can broadly be split into two: residential and commercial I have been fascinated by property funds since I first became an Independent Financial Adviser in 1997. For a long time,...
by Tony Catt | Mar 3, 2017 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Getting the most out of your approach with CPD March 2017 For many advisers, Continuous Professional Development (CPD) is a necessary evil that is foist upon them by an over-zealous regulator. Everybody is aware of the requirements, 35 hours per year of which 21...
