Looking for FCA or PRA authorisation?

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The amended Fund Manager Code of Conduct is now in effect

Have you done all you need to meet the new compliance requirements of the FMCC?
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Everything under control?

Read the key findings of our suitability survey
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Helping firms monitor and manage their market abuse risks

market abuse risks
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Got a question about Benchmarking Regulation? Speak to our expert Gareth Parker

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Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We are committed to providing practical solutions and with offices in the UK, Asia and the Americas we can offer a globally integrated service.

Insights

A new focus for the SFC: Distribution of complex and high-risk products15 January 2019 / AsiaThe SFC has stepped up suitability requirements governing selling practices of certain products, as announced in a circular (issued in December). The regulator has noted that sales volumes of complex and high-risk products by licensed corporations (LCs) have increased recently and...

Events

Getting DB pension transfer advice right23 January 2019 / London23 January 2019 @ 5:00 pm - 6:15 pm -

Our January briefing will look at what is going wrong with DB pension advice, and how you can get it right. We have reviewed the suitability of DB pension transfers in a variety of situations.

 

P2P regulation: FCA changes and the year ahead29 January 2019 / London29 January 2019 @ 5:00 pm -

Our roundtable will be an opportunity for those most affected by P2P regulation to explore challenges and share views under the Chatham House rule.

Case studies

UK wealth manager and financial planner – pension switching suitabilityUK & Europe

Client type: UK wealth manager and financial planner

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