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How to evidence suitable drawdown advice
How to evidence suitable drawdown advice

The FCA is focused on the topic of retirement income advice

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How to deliver compliant remote advice
How to deliver compliant remote 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.

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The FCA's covid update & what it means for you
The FCA's covid update & what it means for you

The FCA has set out its approach to a range of issues for firms stemming from the coronavirus pandemic.

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Delegating work in an SMCR-compliant way
Delegating work in an SMCR-compliant way

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).

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How to share your workload under the SMCR
How to share your workload under the SMCR

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."

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The Heart of the Matter
The Heart of the Matter

Why dealing with vulnerable people isn’t about compliance, it’s about empathy and human interaction.

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FCA's Dear CEO letter to advisers
FCA's Dear CEO letter to advisers

As you'll be aware, many firms with investment permissions recently received a Dear CEO letter from the FCA, so what next?

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How to reward your team for service not sales
How to reward your team for service not sales

In our last article we talked about the FCA's 2018 discussion paper on transforming culture in financial services.

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What does good governance look like for financial
What does good governance look like for financial

Back in 2018 the FCA published a discussion paper on transforming culture in financial services.

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The compliance tasks to plan in now
The compliance tasks to plan in now

As 2019 draws to a close, it's traditional to turn our attention towards planning for the future.

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What's changed on DFMs and power of attorney
What's changed on DFMs and power of attorney

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.

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Don’t be anti-social!
Don’t be anti-social!

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.

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Video killed the DB transfer
Video killed the DB transfer

So, all watched the latest video? no, not the latest SCI FI blockbuster, the one from the FCA.

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Training staff on the new code of conduct rules
Training staff on the new code of conduct rules

I first wrote about the senior managers and certification regime (SM&CR) back in 2017.

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Certifiable!
Certifiable!

Certification under the Senior Managers and Certification Regime

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What the FCA expects on ongoing advice
What the FCA expects on ongoing advice

Many firms now receive the lion’s share of their income from the ongoing relationship they have with their clients.

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Top Gear
Top Gear

How Direct Authorisation can put your business in the fast lane

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Rise of the Robots?
Rise of the Robots?

The Initial Impact of Robo Advice.

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The Butterfly Effect
The Butterfly Effect

Chaos Theory Meets the Senior Managers & Certification Regime (SM&CR) - An Update

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What good due diligence looks like
What good due diligence looks like

Due diligence is becoming a key part of a firm’s compliance set-up.

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The Art of Consultancy
The Art of Consultancy

If you’ve not previously considered financial consultancy support to be an art, then maybe it’s time to think again.

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The Butterfly Effect
The Butterfly Effect

Chaos Theory meets the Senior Managers & Certification Regime

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