FCA scrutiny is reshaping ongoing advice
FCA priorities and Consumer Duty expectations are moving ongoing advice away from fixed processes towards evidence of judgement, value and client outcomes.
Sector: Wealth and Advice
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Turning the FCA’s Mortgage Regulatory Priorities into actionable insight
The FCA’s mortgage priorities place renewed emphasis on evidence, outcome testing, responsible lending and the ability to understand customer experience across the journey.
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FCA Insurance Regulatory Priorities report: key impacts for insurers and intermediaries
The FCA’s insurance priorities require boards to evidence claims oversight, Consumer Duty outcomes, access decisions, innovation controls and third-party governance across complex operating models.
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AI in financial services: FCA scrutiny, governance and evidencing outcomes
FCA scrutiny is moving AI in financial services from capability to proof, requiring governance, auditability, accountability and outcome evidence as adoption scales.
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Improving oversight and quality assurance across mortgage advice conversations
How a major UK retail bank moved from reviewing fewer than 5% of mortgage sales to 100% coverage — cutting QA review time in half.
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TCC Group: What the FCA’s consolidation review means for advice and wealth management firms
Joe Norburn discussed the FCA’s consolidation review and the governance, resilience and client outcome issues facing advice and wealth firms.
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The UK Wealth Management Merger Wave Isn’t the Risk. Bad Execution Is.
Joe Norburn discussed how wealth firms can pursue consolidation while maintaining governance, due diligence, integration control and oversight.
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AI, compliance and customer outcomes: Recordsure in conversation with intelliflo
Recordsure’s Garry Evans joins intelliflo to discuss how AI can improve compliance, QA and customer outcome evidence in wealth management without removing human oversight.
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What the FCA’s Regulatory Priorities mean for consumer investment firms
The FCA’s Regulatory Priorities reports give consumer investment firms clearer expectations on fair value, product governance, outcomes monitoring and ongoing advice services.
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UK FinTech Awards Finalist RegTech of the Year 2026
Recordsure and TCC have been named finalists for RegTech of the Year, recognising their combination of AI-powered compliance technology and regulatory expertise.