Recommending UCIS: ten top tips

UCIS TIPS

clock

Support services provider Threesixty has put together a list of tips and hints for advisers considering recommending UCIS...

1 PI cover Always ensure you have relevant PI cover prior to making any recommendation. This may need to be checked on a case by case basis. 2 Read All relevant staff and management should read and be familiar with the output of the FSA review. They should receive training and their CPD should be documented in detail. 3 Process The firm must have a robust process for promoting or advising on UCIS which must be known and followed, by all relevant staff. 4 Pre-approval The process should include arrangements for pre-approval. 5 Exemptions Maintain management information ...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Alternative Investments

Democratising finance: Alternatives and the role of financial advisers

Democratising finance: Alternatives and the role of financial advisers

The array of alternative investments is vast

J. Womack
clock 13 September 2023 • 3 min read

Andrew Aldridge: Vaccine roll out sees life science investment prospects shoot up

Andrew Aldridge

Andrew Aldridge
clock 11 March 2021 • 4 min read

Oliver Wallin: Five top tips for investing in alternatives

'Alternatives reality'

Oliver Wallin
clock 01 February 2019 • 7 min read