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Seven key topics to ensure the success of your ongoing advisory reviews
The FCA has scrutinised the ongoing advice service landscape, and soon, it is likely to release more details about what is expected of wealth management firms. In the interim, we joined up with TCC’s regulatory experts to consider what proactive steps firms can take now
Wealth Management: Evidencing ongoing service
Four steps for AI compliance Whether humans are monitoring compliance or technology is being utilised to supplement human effort the process is effectively the same. Access Your documents are all centralised on your practice management system (PMS) but many conversations are face-to-face and not recorded.
Tracking the essential evidence for your ongoing advice reviews
The changes in the FCA’s supervisory style, guided by the Consumer Duty, continue to impact the financial services sector as we settle into the new year. With its “show me, don’t tell me” approach, the regulator can ask for detailed information and data from firms
How one marketer used AI to step into Christmas
As the festive season gathers pace and the December days buzz by, businesses everywhere begin thinking about how to celebrate with their customers, partners, and employees. One tradition that never goes out of style is the corporate Christmas card. And as their design has evolved
Key priorities in FCA update: ongoing advice services and retirement income advice
Our colleagues at TCC Group have unveiled their expert insights on the recent portfolio strategy letter from the FCA, which was released on the 7th October 2024. This crucial communication outlines the future roadmap and expectations for financial advisers and investment intermediaries over the upcoming
How advice firms should navigate the AI journey
There are numerous new AI solutions available for financial advice firms, offering a range of choices. However, it’s often unclear which type of AI is being promoted and if it suits your needs. It’s important to know there are two main types of AI, and
