It won’t have escaped the attention of those of us in the industry that the Financial Conduct Authority has made changes to the FCA Register, removing the name of all those in customer facing roles (except where they hold a senior management function).   

Adviser-build wrap platform Nucleus has launched a white paper to help advisers finalise their preparations ahead of the Senior Managers and Certification Regime (SM&CR).

I ended my last commentary by expressing concern for all senior managers working with SIPPs – whether as a provider or adviser – given the ongoing regulatory uncertainty particularly around the responsibilities for investment due diligence.

Investor in Customers (IIC) has launched a new customer insight and assessment product, SM&CR Essential.