Nicola Watts: Why scammers threaten us all
- Friday, 14 February 2020
- Comment
It won’t have escaped the attention of those of us in the industry that the Financial Conduct Authority has made changes to the FCA Register, removing the name of all those in customer facing roles (except where they hold a senior management function).
Read more...Nucleus publishes new SM&CR guide
- Wednesday, 13 November 2019
- Articles
Adviser-build wrap platform Nucleus has launched a white paper to help advisers finalise their preparations ahead of the Senior Managers and Certification Regime (SM&CR).
Read more...John Moret: The price of light or the cost of darkness?
- Tuesday, 12 November 2019
- Comment
I ended my last commentary by expressing concern for all senior managers working with SIPPs – whether as a provider or adviser – given the ongoing regulatory uncertainty particularly around the responsibilities for investment due diligence.
Read more...IIC launches SM&CR Essential assessment
- Monday, 21 October 2019
- Articles
Investor in Customers (IIC) has launched a new customer insight and assessment product, SM&CR Essential.
Read more...