Part 3: FCA’s ongoing advice services review: long term compliance and RegTech
The final webinar section examines long-term compliance, proportional review work, evidence quality, redress considerations and the role of RegTech.
Technology: Document Intelligence
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Part 2: FCA’s ongoing advice services review: the next steps for wealth managers
Part two of TCC’s webinar focuses on the evidence wealth managers need for ongoing advice reviews and the next steps to consider.
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Part 1: FCA’s ongoing advice services review: the scope
Recordsure joins TCC regulatory experts to examine the FCA’s ongoing advice review, the survey categories and the evidence wealth managers may need.
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FCA ongoing advice review presents better than expected findings
The FCA’s ongoing advice findings were better than many wealth managers expected, but firms still need evidence that reviews were completed, recorded and acted on.
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What risks remain for firms following the FCA’s ongoing advice review findings?
Recordsure and TCC experts discussed the FCA’s ongoing advice review findings, including evidence standards, review quality, chronology, backward-looking checks and the risks firms should prepare for.
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Recordsure technology now available in the Microsoft Azure Marketplace
Microsoft Azure customers can access Recordsure technology through Azure Marketplace, using Azure’s cloud platform for deployment, management and route-to-procurement options.
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Compliance Q&A: How can firms keep their ongoing advice services compliant?
David Boyhan explains the forward-looking and backward-looking work firms need to keep ongoing advice services compliant after the FCA’s findings.
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Compliance Q&A: How do the FCA’s review findings relate to the Consumer Duty?
David Boyhan explains why ongoing advice reviews form part of Consumer Duty management information and why firms need evidence for FCA scrutiny.
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Compliance Q&A: How should firms be considering quality and suitability of advice?
David Boyhan explains why firms should assess advice quality in ongoing reviews, not just whether the review service has been delivered.
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Compliance Q&A: What should firms do about disengaged clients?
Garry Evans and David Boyhan discuss how advice firms should assess disengaged ongoing advice clients, historic review evidence and possible redress.