Turning “no change” reviews into insightful compliance opportunities
No-change annual reviews can carry material suitability risk. Firms need evidence that ongoing advice remains appropriate, even when no new recommendation is made.
Technology: Document Intelligence
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Harnessing AI to transform suitability reviews into actionable insight
AI can help wealth managers turn suitability reviews into usable management information, reducing review effort while preserving human judgement over advice quality and suitability.
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Attivo deploys Recordsure’s AI technology to evidence its ongoing advice compliance and cut file review costs
Attivo is using Recordsure technology to target high-risk ongoing advice files, evidence compliance, reduce review costs and improve oversight across its advice journey.
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Turning suitability reviews into a strategic advantage
Suitability reviews can become a source of adviser improvement and customer outcome evidence when firms combine risk-based sampling, clear feedback and follow-up.
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FCA announces 14 million motor loan customers to be eligible for compensation
The FCA’s proposed motor finance redress scheme could cover millions of agreements, making evidence, liability assessment and remediation planning urgent for firms.
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Secrets of AI Agents
Kit Ruparel, Recordsure’s CTO, demystifies AI agents: what Agentic Clients, Servers and protocols such as MCP actually do, why chaining LLMs compounds confidently wrong answers, and how to build safe,…
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Suitability reviews with AI: turning a compliance burden into a business asset
Suitability reviews can move beyond tick-box checking when AI-supported insight is combined with expert oversight and clear adviser feedback.
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AI in Compliance event for wealth managers: Five takeaways
Five themes from an AI in Compliance event for wealth managers, including reasonable steps, fair value, AI oversight, transparency and adoption.
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Plan for the worst, act early: winning the remediation race
Part five of the motor finance webinar urges firms to prepare early by data mining, reviewing disclosures and testing resource plans.
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The resourcing crunch: preparing for a remediation surge
Motor finance firms preparing for redress may face a shortage of experienced case handlers as more complaints require nuanced, case-by-case assessment rather than automated processing.