Insights
Analysis & Perspectives
Compliance Q&A: Critical insights from the FCA’s ongoing advice review findings
The FCA’s ongoing advice review findings show that most clients received reviews, but firms still need to remediate missed reviews and evidence how they handle disengaged clients.
Key findings from the FCA’s ongoing advice services review
The FCA reviewed 22 large ongoing advice firms and found most suitability reviews were delivered, but evidence and remediation remain important. Firms should assess redress, disengagement, advice quality and automated evidence checks.
Benefit your business by enhancing customer data
Firms can use better customer data to satisfy regulatory expectations and improve client outcomes. Ongoing advice reviews and retirement income advice show how structured records can support better service and decision-making.
Seven key topics to ensure the success of your ongoing advisory reviews
Seven ongoing advice standards help firms act before historic servicing issues become larger remediation problems. TCC regulatory expertise and Recordsure automation support evidence-led review, management and oversight.
Tracking the essential evidence for your ongoing advice reviews
Ongoing advice reviews need clear evidence, not only completed processes. FCA supervisory pressure, common adviser questions and Recordsure technology all point to the need for better documentation and review evidence.
Key priorities in FCA update: ongoing advice services and retirement income advice
The FCA’s portfolio strategy letter puts ongoing advice services and retirement income advice under renewed scrutiny. Firms need evidence that services are delivered, outcomes are suitable and records support oversight.
Two-way integration provides intelliflo users with quality of advice AI analysis
Recordsure’s Document Intelligence integration with intelliflo office supports final advice reviews by analysing quality, compiling records, updating client files and escalating cases where human oversight is needed.
How financial advisers can embrace the evolving landscape
Panel takeaways on AI in financial advice stress human verification, clear AI policies, support for vulnerable customers and accurate records across adviser conversations.
How AI can improve financial advice compliance
Financial advice firms need evidence that ongoing advice, servicing and review activity meet regulatory expectations. Recordsure technology combines captured conversations and document review to build customer timelines, identify missing evidence and support outcome judgements.
The 2¢ AI summary meeting note
GPT-based meeting summaries can be cheap to generate, but every output must be verified by a human before client action. Generative summaries differ from predictive AI that can find, classify and evidence source content.
How to utilise RegTech for the provision of ongoing advice services
Firms facing scrutiny over ongoing advice services can use data sourcing, AI document classification, workflow and review expertise to evidence whether agreed services were delivered.
Almost three quarters of financial advisers understand the significance of incorporating AI
The intelliflo adviser survey shows appetite for AI alongside a significant skills gap. AI can reduce administrative burden where it structures and analyses existing advice data.
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Case studies
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.