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Insights and Perspectives
Analysis, news and practical guides for compliance, quality and risk teams in regulated financial services.
Secrets of AI Agents
AI agents are not new, and building every part of an agentic system from generative LLMs compounds the risk of confidently wrong answers. Safe enterprise Agentic AI depends on careful component selection, confidence thresholds with an ‘I don’t know’ opt-out,…
Suitability reviews with AI: turning a compliance burden into a business asset
Unclear suitability ratings often stem from weak rationale, fact-finding or risk assessment, and AI-supported review can turn compliance checks into learning. Better feedback can improve adviser performance, reduce rework and support customer outcomes.
AI in Compliance event for wealth managers: Five takeaways
Ongoing advice compliance depends on clear evidence of reasonable steps, fair value, responsible AI use, transparent communications and practical adoption planning.
AI in Compliance: Regulatory success for financial services
Two AI in Compliance webinars covered right-first-time suitability, predictive AI, evidence, speakers and the practical foundations financial services firms need.
Plan for the worst, act early: winning the remediation race
Uncertainty is not a reason for inaction. Motor finance firms can prepare by testing data integrity, segmenting cases, reviewing dealer arrangements, triaging complaints and securing resources early.
The resourcing crunch: preparing for a remediation surge
The Supreme Court ruling is expected to move more motor finance complaints outside simple automated redress, increasing demand for experienced remediation resource. Firms can reduce delivery risk by preparing policies, procedures and resourcing models before the FCA scheme is finalised.
From legal definitions to operational realities: who feels the impact?
Motor finance redress could depend on case-specific fairness factors, including commission size, disclosure, consumer characteristics, scheme design and operational capacity.
Breaking down the ruling: what the Johnson case means for redress
The Supreme Court’s discretionary commission ruling has narrowed some exposure while adding complexity for firms handling motor finance complaints. FCA plans for a compensation scheme and the practical impact of Johnson are central to redress preparation.
Driving change: The Supreme Court ruling sparks industry debate
Experts from TCC, Recordsure and Momenta discuss what the Supreme Court ruling and FCA consultation could mean for motor finance redress, including complaint scope, remediation readiness and technology-supported handling.
Preparing for the future: FCA redress and motor finance
The FCA’s proposed motor finance redress scheme raises practical questions on unfairness, the Johnson case, operational impact, resourcing and acting early.
Motor finance redress scheme – what do we know now?
The FCA sees a formal motor finance compensation scheme as the quickest route to clarity and consistent claims handling. Firms should prepare customer data, processes, resourcing and workflow controls before the consultation is finalised.
How to use artificial intelligence to navigate motor finance commission complaints
FCA activity on motor finance commission arrangements is creating operational pressure and regulatory uncertainty. Recordsure describes how data, transcription, triage and QA can support complaint response.
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The latest announcements, regulatory developments and company updates.
Analysis & Perspectives
In-depth analysis on regulation, AI, oversight and customer outcomes for regulated firms.
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Proven outcomes in practice
Major UK retail bank
Improving oversight and QA across mortgage advice
Read case study: Improving oversight and QA across mortgage advice
Major UK Tier 1 bank
Improving QA oversight and reporting across business banking conversations
Read case study: Improving QA oversight and reporting across business banking conversations
Government Department — UK
Digitalising interview recording to reduce cost and improve efficiency.
Read case study: Digitalising interview recording to reduce cost and improve efficiency.