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Personal Financial Planning Regulation

Resources relating to Personal Financial Planning regulation.

PruAdviser Annual Allowance Calculator

Tool from Prudential for financial advisers to help work out how Annual Allowance could affect clients – whether the standard Annual Allowance or Tapered Annual Allowance applies, as well as the amount of unused allowance and carry forward.

Mind the gap: Meeting the RDR qualification standards and gap-fill

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Gillian W Tait, Managing Director, Competent Adviser Ltd and John Gaskell, Financial Services Faculty, Financial Planning and Advice Manager, speak on how you can Meet the RDR qualification standards and gap-fill.

Informed Choices

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Ensuring that consumers make the right choices about how and when to access their pension pots is a tall order for regulators and advisers. Mike Morrison highlights how the system of information, guidance and advice is evolving.

Lost in translation

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Some advisers have lost sight of the real purpose of suitability reports: to ensure clients understand their recommendations and can make informed choices. Rory Percival of the Financial Conduct Authority highlights some of the essentials of a good report

Introductions to financial advisers

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Helpsheet explaining regulations surrounding making introductions to financial advisers and the scope of the Financial Services and Markets Act 2000.

Regulators under review

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Regulators can send in 'skilled persons' to conduct a section 166 review of a firm. David Morrey explains how to deal with being subject to a '166'

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