PENSION TRANSFERS: MANAGING COMPLIANCE

Abstract

This paper discusses two aspects of compliance management in pension transfers. The first addresses the claims that may be brought before a court by investors to whom personal pension schemes were mis‐sold. The second looks at the Securities and Investments Board (SIB) guidelines on the procedures to be followed by the personal pension providers in determining the extent, if any, to which compensation to individuals will be required.

Citation

CUNLIFFE, J. and MINGLE, S. (1995), "PENSION TRANSFERS: MANAGING COMPLIANCE", Journal of Financial Regulation and Compliance, Vol. 3 No. 3, pp. 250-258. https://doi.org/10.1108/eb024847