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CPD May Briefing: FCA’s ‘zombie fund’ announcement lacked brains

The latest edition of Newsbrief counts as 1 hour of structured CPD and covers the regulatory and marketplace changes that took place during April 2014. Visit the Money Marketing CPD Centre to answer 10 multiple choice questions and complete this CPD activity.

Just click into your CPD Plan and you’ll find each month’s marketplace changes round-up in your activity list.

Not yet registered? Join for free today at and access more than 35 hours of independent, accredited CPD learning content. 

Learning objectives (full list of ApEx standards covered below)

Learning objectives

By reading this edition of Newsbrief and completing the MCQ test online you will be able to:

  • Update your knowledge of marketplace changes
  • Update your knowledge of regulatory changes


Financial services regulation and ethics

Investment principles and risk

Personal tax

Pensions and retirement planning


ApEx standards covered in this edition of Newsbrief:

ApEx standards
Subject area Learning outcome and indicative content
Updating your knowledge of regulatory changes FCA’s responsibilities and approach to regulation
− The regulatory advice framework in practice for the
Client relationships and adviser responsibilities
Updating your knowledge of marketplace changes  The macro-economic environment and its impact on asset classes
− Overview of world economies and globalisation of
The characteristics, tax treatment, inherent risks and
behaviours of investment products
− Collectives vs direct investment
Defined contribution schemes
− Scheme options, limitations and restrictions
How the tax regime applies to pensions planning
− Tax treatment of other scheme types
The range, structure and application of life assurance and
pension based policies to meet financial protection needs



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IFDS is a 50/50 joint venture between State Street and DST. Famous for keeping a low profile due to the back-room nature of its work, it was described to me by one of its senior executive as “the best financial services company you’ve never heard of”. IFDS was conceived in 1995 and has since grown […]


Partnership in recruitment freeze as individual annuity sales fall 44%

Partnership has put a freeze on recruitment and is requiring its chief financial officer to sign off on all capital spend as it looks to manage its costs following the Budget. In its Q1 interim management statement, published today, the provider revealed individual annuity sales have fallen 44 per cent year-on-year from £357m to £200m. […]


Ben Goss: Three misconceptions around risk profiling

Much has been written on the topic of risk profiling recently. As a company we pioneered the use of questionnaires and model asset allocations over 10 years ago and never has the discussion been so energised as it is currently.   Eleven years ago, when we founded Distribution Technology, over 80 per cent of advisers […]


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