Retail investment events - Live & Local 2018/19

From October 2018 to March 2019, we held events across the UK aimed at regulated retail investment firms. 

This series of events concluded in March 2019. To be alerted to future events, sign up to Live & Local email update alerts

Interactive workshop on Defined Benefit Pension Transfers

(up to 2.5 hours)

This session focused on the topical area of Defined Benefit Pension Transfers and highlighted the key points that firms should consider when operating in this market, as well as reiterating our expectations when transacting this type of business.

In particular, the importance of detailed Know Your Client (KYC) information, the balancing of client’s needs against their objectives and the Appropriate Pension Transfer Analysis (APTA) were discussed. The session also focused on the requirements introduced following the publication of our Policy Statements in April and October 2018.

A key component of the workshop was an interactive case study where attendees put into practice our expectations in this area and share their views.

This session was designed for firm representatives who are qualified to give Defined Benefit pension transfer advice, and those who are considering seeking authorisation in this area in the future.

This series of Live & Local events has now concluded. To be alerted to future events, sign up to Live & Local email update alerts.

A look back at our Live & Local programme to date

It is refreshing to hear that the FCA are encouraging feedback and are willing to talk to companies.

From April 2016 to June 2018, we travelled across the country holding a series of events aimed at retail investment, general insurance, mortgage and consumer credit firms.

  • we directly engaged with nearly 6000 firm representatives
  • we travelled to over 70 locations, revisiting each region more than once each year
  • 97% of attendees told us they were clearer about our expectations after attending a Live & Local event
  • 99% of attendees told us they would recommend a Live & Local event to others