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In June 2015 British pensions legislation also introduced the requirement for anyone transferring their pension from a Defined Benefit pension scheme to have a Financial Conduct Authority (FCA) regulated pension transfer suitability report produced alongside professional advice from their country of residence.
Moneyfarm (MFM Investment Ltd.) is an online investment advisor and one of the largest digital wealth management companies in Europe, regulated by the FCA [1] (UK) and CONSOB [2] (ITA). History [ edit ]
In this list of financial regulatory and supervisory authorities, central banks are only listed where they act as direct supervisors of individual financial firms, and competition authorities and takeover panels are not listed unless they are set up exclusively for financial services.
The FCA works alongside the Prudential Regulation Authority and the Financial Policy Committee to set regulatory requirements for the financial sector. The FCA is responsible for the conduct of around 58,000 businesses which employ 2.2 million people and contribute around £65.6 billion in annual tax revenue to the economy in the United Kingdom ...
The Pensions Regulator (TPR) is a non-departmental public body which regulates work-based pension schemes in the United Kingdom. Created under the Pensions Act 2004 , the regulator replaced the Occupational Pensions Regulatory Authority (OPRA) from 6 April 2005 [ 1 ] and has wider powers and a new proactive and risk-based approach to regulation.
If the principal purpose of the firm is to carry on regulated activities, each person with responsibility for directing its affairs performs the FCA controlled function. If the principal purpose of the firm is other than to carry on regulated activities, a person performs the small friendly society function only to the extent that he has ...
The term is commonly used in the United Kingdom where IFAs are regulated by the Financial Conduct Authority (FCA) and must meet strict qualification and competence requirements. Typically an independent financial adviser will conduct a detailed survey of a client’s financial position, preferences and objectives; this is sometimes known as a ...