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Upcoming rules that could change advice landscape

  • Explain key changes in regulation
  • Explain key changes in budget
  • Identify future consultations
CPD
Approx.30min

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They have also confirmed that they will continue assessing suitability of defined benefit (DB) to defined contribution (DC) transfer advice and start assessing suitability of decumulation advice given the significant risk of harm they perceive to exist in these markets.

Simon Thomas regulatory consultant at Quilter Financial Planning

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CPD
Approx.30min

Please answer the six multiple choice questions below in order to bank your CPD. Multiple attempts are available until all questions are correctly answered.

  1. Pick the odd one out. The new platform rules coming into effect on 31 July will require platforms to:

  2. True or false, CP19/12 did not contain any proposal for a possible ban or cap on exit fees which would extend beyond platforms to capture a broad range of firms undertaking dealing and arranging.

  3. ESMA is due to publish a further consultation relating to Mifid II in the spring which is likely to have a requirement, which the FCA will then have to implement, to:

  4. The four key culture drivers in firms are:

  5. True or false, implementing the EU 5th Money Laundering Directive, the government has proceeded with the proposed approach for firms to check public registers when entering into a new business relationship.

  6. As part of the tapered annual allowance changes, the new threshold incomes are:

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  • Explain key changes in regulation
  • Explain key changes in budget
  • Identify future consultations

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