There is no one size fits all solution when it comes to determining a client’s risk profile and capacity for loss.
Regulatory disclosure goes by different names in different firms
The FCA is focused on the topic of retirement income advice
In these times of social distancing and remote working, it is of course possible to continue to provide initial and ongoing advice in a compliant way.
The FCA has set out its approach to a range of issues for firms stemming from the coronavirus pandemic.
In our last article, we looked at what the rules say on delegating work and activities under the senior managers and certification regime (SM&CR).
There was apparently a sign on former US president Ronald Reagan's desk which read: “It’s amazing what can be accomplished by any person if he doesn’t care who gets the credit."
Why dealing with vulnerable people isn’t about compliance, it’s about empathy and human interaction.
As you'll be aware, many firms with investment permissions recently received a Dear CEO letter from the FCA, so what next?
In our last article we talked about the FCA's 2018 discussion paper on transforming culture in financial services.
Back in 2018 the FCA published a discussion paper on transforming culture in financial services.
As 2019 draws to a close, it's traditional to turn our attention towards planning for the future.
There is no doubt more and more advisers are using a discretionary fund manager (DFM) as a solution for their clients, whether on- or off-platform.
In conjunction with website provider, Adviser Portals, we recently conducted some research around the subject of websites and the social media used by financial adviser firms.
So, all watched the latest video? no, not the latest SCI FI blockbuster, the one from the FCA.
I first wrote about the senior managers and certification regime (SM&CR) back in 2017.
Certification under the Senior Managers and Certification Regime
Many firms now receive the lion’s share of their income from the ongoing relationship they have with their clients.
How Direct Authorisation can put your business in the fast lane
The Initial Impact of Robo Advice.
Chaos Theory Meets the Senior Managers & Certification Regime (SM&CR) - An Update
Due diligence is becoming a key part of a firm’s compliance set-up.
If you’ve not previously considered financial consultancy support to be an art, then maybe it’s time to think again.
Chaos Theory meets the Senior Managers & Certification Regime