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TCC Group

Intelligent compliance for outcomes that matter

09/02/24

Assessing vulnerability: How can firms help mitigate risks of DIY SIPPs?

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A recent Financial Ombudsman Service decision has highlighted the risks of DIY SIPP arrangements – particularly for customers displaying signs of vulnerability such as gambling addiction.

In this FT Adviser feature, TCC’s Head of Advisory Practice, Gary Maude, gives his expertise regarding firms’ safeguarding obligations towards customers taking a DIY approach in the Consumer Duty era.

Read the article here.

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