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.
Technology: Reporting & Analytics (MI)
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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: Critical insights from the FCA’s ongoing advice review findings
A Q&A-style overview of the FCA’s ongoing advice review findings, the remediation questions they raise and the evidence wealth firms need for future reviews.
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Key priorities in FCA update: ongoing advice services and retirement income advice
FCA outlined the roadmap and expectations for financial advisers and investment firms. AI helps firms evidence ongoing advice reviews.
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Two-way integration provides intelliflo users with quality of advice AI analysis
Recordsure’s integration with intelliflo office supports advice review teams by transferring service cases, analysing quality, compiling evidence records and escalating cases for human oversight where needed.
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Motor insurance firms are advised to utilise their data to better demonstrate customer outcomes
The FCA’s motor insurance claims review shows why firms need data and MI to evidence valuation decisions, communications and customer outcomes.
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Recordsure and intelliflo expand RegTech collaboration to Australian market
Recordsure extended its intelliflo collaboration to Australia, making Document Intelligence available to Australian advice firms through the intelliflo store.
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The FCA’s motor finance focus reveals the importance of robust oversight
The FCA’s motor finance work shows why firms need accurate records of customer conversations, clear complaint evidence and oversight that can withstand scrutiny.
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Recordsure retains Silver EcoVadis Medal in recognition of sustainability efforts
Recordsure received a Silver Medal from EcoVadis for the third consecutive year, recognising continued sustainability and ethical business practices.