Financial Advice and the Sales Process

If you would like to obtain any of the following publications please contact Adam.

For a complete list of all articles on Financial Advice and Sales Process please download
the pdf

A new Code for giving generic advice based on the Skills Council and other material on the subject

“CP19 tackles pension transfers - an arcane and troubled topic ”,Compliance Monitor, 8 November 2019

“The Standard Life 2019 final notice - another zeitgeist moment”,Compliance Monitor, 4 September 2019

“Robo-advice still problematic ”, Compliance Monitor, February 2019

“The rogue appointed representative causing legal problems again in Anderson v Sense Network ”, Compliance Resource Network, 4 December 2018

“Berkeley Burke v FOS judicial review application fails an analysis ”, Compliance Resource Network, 20 November 2018

“New to you this October the rules on pension transfers and conversions with a bit on opt-outs ”, Compliance Resource Network, 30 October 2018

“The FCA does retirement - the Retirement Outcome Review final report ”, Compliance Resource Network, 29 August 2018

“Solutions and changes in the light of the Retirement Outcome Review ”, Compliance Resource Network, 28 August 2018

“The Bluefin Final Notice a sad example of the demise of the better than best rule ”, Compliance Resource Network, 3 January 2018

“The evolving shape of financial advice ”, Compliance Monitor, December 2017

“Pension transfers pure guesswork? ”, Compliance Monitor, October 2017

“The U.K. FCA's proposed insistent customer guidance in CP 17/28 ”, Compliance Resource Network, 31 October 2017

“The FCA re-visits the compliance Chamber of Horrors, pension transfers in CP 17/16 ”, Compliance Resource Network, 17 July 2017

“What MiFID II has done to the FCA rulebook ”, Compliance Monitor, 10 April 2018

“The evolving shape of financial advice ”, Compliance Monitor, 12 December 2017

“Pension transfers pure guesswork?" ”, Compliance Monitor, 6 October 2017

“Pensions and the cobbled together COBS 19 ”, Compliance Monitor, 7 February 2017

“Exploring the mythical advice gap" ”, Compliance Monitor, 6 April 2016

“In search of ongoing service in financial advice”, Compliance Monitor, 2 November 2016

“Exploring the mythical advice gap", Compliance Monitor, 6 April 2016 , Compliance Monitor, 2 November 2016

“TR 16/7 the FCA finding problems with non-advised annuity sales”, Compliance Resource Network, 21 October 2016 , Compliance Monitor, 2 November 2016

“Man or machine? The future of financial advice”, Compliance Monitor, 4 December 2015

“As the pension freedoms take shape is an insistent client also an imprudent one?”, Financial Planning, October 2015

“The Upper Tribunal and High Court tackles conflicts of interest, integrity and dishonesty issues at Arch Financial Products LLP”, Compliance Resource Network, 23 January 2015

“Tightening the networks”, Financial Adviser, 4 December 2014

“Nothing new under the sun, for pensions compliance”, Compliance Monitor, 6 November 2014

“Don't fall into the products trap”, Money Marketing, 14 October 2014

“Compliance tip of the week: Don't allow fantasists in your firm”, Money Marketing, 18 September 2014

“Compliance tip of the week: Draw up your own client agreements”, Money Marketing, 4 September 2014

“Wielding the power of attorney”, Money Marketing, 29 August 2014

“Compliance tip of the week: Use properly what you know about your client”, Money Marketing, 7 August 2014

“The FCA revisits the pensions review in TR 14/12 on Enhanced Transfer Values”, Compliance Resource Network, 5 August 2014

“The problem with high net worth clients”, Money Marketing, 15 July 2014

“When to say no to clients”, Money Marketing, 17 April 2014

“Compliance tip of the week: Research your products”, Money Marketing, 16 April 2014

“Compliance tip of the week: Needs and wishes are not the same”, Money Marketing, 3 April 2014

“When to say no to clients”, Money Marketing, 17 April 2014

“Compliance Tip of the Week: Research your products”, Money Marketing 16 April 2014

“Compliance Tip of the Week: Needs and wishes are not the same”, Money Marketing 3 April 2014

“A year down the road of the retail distribution review”, Compliance Monitor, March 2014

“The Consumer Rights Bill”, Compliance Resource Network, 12 March 2014

“Who is a sophisticated investor?”, Compliance Monitor, December/January 2014

“The Westwood Upper Tribunal decision”, Compliance Resource Network 11 December 2013

“PRIPS - the lost regulation ┬ľabout to be debated this autumn by the European Parliament”, Compliance Resource Network, 25 July 2013

“Incentives at the UK and European level”, Compliance Resource Network, 26 June 2013

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