Loading Events
  • This event has passed.
Event Details


On Friday 5th June The FCA released policy statement PS20/6 that outlined the banning contingent charging in the pension transfer advice process and the introduction of a new shortened form of pension transfer advice, abridged advice. On the same day, the regulatory watchdog also published GC20/1 containing examples of good and bad practice advice on pension transfers.

With the regulator remaining concerned at the ‘unacceptably high’ number of files where the advice appears unsuitable or where files have material information gaps, advisors and firms must, in light of recent guidance, review and improve their existing advice process .

In this online session we will help you:

  •  Understand what’s going wrong with DB pension advice, and how you can get it right
  • Grasp the FCA’s expectations as to how to act and treat customers
  • Identify weaknesses and poor practices in your existing advice process
  • Learn how to test whether your DB pension transfer advice is likely to stand up to FCA scrutiny
  • Receive tips on how to ensure you capture the right “know your customer” information from clients
  • Recognise how you can improve (and shorten!) your suitability reports

Who should attend this session?

Chief Operating Officer, Head of Compliance, Head of Operations, Head of Regulation and Compliance and Risk officers

About your trainers

Alex Lander is a director in the Duff & Phelps Compliance and Regulatory Consulting practice in London. He is responsible for providing ongoing compliance support to a wide range of wealth managers, asset managers and PE firms. Alex is a specialist in retail firm compliance covering the entire suitability spectrum of pension transfers, pension switches, investment and protection products. He also ensures retail firms have the correct systems and controls in place to meet their ongoing regulatory obligations.

Before joining Duff & Phelps, Alex was Head of Compliance at Connor Broadley Wealth Management, holding the CF10 and CF11 control functions.

Alex is a chartered fellow with the Chartered Institute for Securities & Investment. He additionally holds diplomas in investment compliance and investment operations from the Chartered Institute for Securities & Investment. Additionally, he received a CFA and UK Investment Management Certificate and has passed the Chartered Insurance Institute financial planning exams.

Mark is a managing director in the London office where he works in Duff & Phelps’ Compliance and Regulatory Consulting practice. He specializes in advising the financial services industry on controls and regulation, in particular in matters relating to risk management, control effectiveness, governance and accountability.
Prior to joining Duff & Phelps, Mark has worked as a senior consultant and was a senior risk consultant within the Risk Specialist Division at the Prudential Regulation Authority (PRA), and prior to that the Financial Services Authority (FSA), where he was a valuation and controls specialist primarily focusing on banking and insurance. In recent years, Mark has become one of the industry’s leading experts on individual accountability, and has advised some of the world’s largest financial institutions on the UK’s Senior Managers and Certification Regime (SM&CR). Mark regularly advises Boards and Board Directors on Governance, Risk and Compliance matters, in both contentious and non-contentious situations.

How will I learn?

This session is not your average webinar or ‘death by PowerPoint’ presentation. This is an immersive, interactive, experience providing opportunities to ask questions and share experiences throughout.


Alex Lander
Director Compliance and Regulatory Consulting
Duff & Phelps
Mark Turner
Managing Director
Duff & Phelps

Booking and Registration Information

If you are a PIMFA member please ensure you have logged in to register for this webinar, podcast or event and receive your discount. If you are unsure of your login details you can request a new password via our website or email us to reset it for you. If you are unsure whether you belong to a PIMFA member firm please register for an account or email us and we will confirm this for you. You can still register for our webinars, events and podcasts as a non-member (charges apply in some instances). Requests may take up to 48 hours to process.



24th November 2020
09:30 - 11:30
£250 - £350
Event Categories:
, ,


CPD Hours


Zoom Webinar