FOR FINANCIAL ADVISERS ONLY
FOR FINANCIAL ADVISERS ONLY
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Regulation

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Legal Entity Identifiers (LEI)

This article explains who needs a Legal Entity Identifier.
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Protecting your client’s money - peeling back the layers of policyholder protection

An explanation of the layers of protection safeguarding policyholders with assets invested through OMI and OMII
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Common reporting standards – time to get involved

This article details the requirements of the Client Notification Regulations and considers what advisers must do in order to comply with them.
tug of war

To disclose or not disclose?

This article provides the background to DOTAS, including the recent changes announced in Finance Bill 2013, and explains when an IHT scheme must be disclosed to HMRC.

Financial Adviser Verification