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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;
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.
In the UK there are 30,043 investment advisers, 27,776 mortgage advisers of which 8,788 are holistic advisers providing investment and mortgage advice. Each firm will be granted permissions by the FCA to operate, and each adviser has qualifications that will allow them to give advice on some or all of the permissions the firm has.
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.
An independent financial advisers (IFA) is a professional who offers independent advice on financial matters to their clients and recommends suitable financial products from the whole of the market. The term was developed to reflect a United Kingdom (UK) regulatory position and has a specific UK meaning, although it has been adopted in other ...
Pension administration in the United States is the act of performing various types of yearly service on an organizational retirement plan, such as a 401(k), profit sharing plan, defined benefit plan, or cash balance plan. Increasingly, employers are also implementing these plan types in combination arrangements for greater contribution ...