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giving advice to clients solely in connection with corporate finance business and performing other functions related to this; giving advice or performing related activities in connection with pension transfers or opt-outs for retail clients; giving advice to a person to become, or continue or cease to be, a member of a particular Lloyd's syndicate;
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 ...
[9] [10] [11] Working with Financial Conduct Authority (FCA)-regulated advisers and pension administrators who ensure all Her Majesty’s Revenue and Customs (HMRC) scheme registration criteria are met is, therefore, to be recommended.
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 ...
Pension Wise does not give specific product or provider recommendations. It also stops short of providing advice, which must still be delivered by a regulated financial adviser. According to the Financial Conduct Authority in 2022, 46% of consumers who took part in their consumer survey had received guidance from Pension Wise. [10]
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.
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