Key findings from the FCA’s ongoing advice services review
The FCA’s ongoing advice review highlights the need to evidence annual suitability reviews, identify redress, address disengagement and document service delivery.
Technology: Workflow automation
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Benefit your business by enhancing customer data
Good-quality customer data helps financial services firms answer regulatory questions, improve ongoing advice processes and identify opportunities to support clients better.
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Tracking the essential evidence for your ongoing advice reviews
Firms providing ongoing advice need accessible evidence and data to show reviews were completed, value was delivered and regulatory expectations were met.
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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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How financial advisers can embrace the evolving landscape
Key takeaways from Joanne Smith’s panel discussion on how financial advice firms can use AI responsibly while evidencing compliance and customer outcomes.
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How AI can improve financial advice compliance
Financial advice firms need accurate evidence of client conversations, service reviews and case documentation. Recordsure technology helps teams review customer timelines, identify gaps and focus human oversight where it is…
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Recordsure launches free AI meeting notes
Recordsure launched free AI meeting notes for clients and released open-source Microsoft Azure OpenAI code for firms exploring generated meeting summaries.
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The 2¢ AI summary meeting note
Kit Ruparel explains the cost, limits and responsible use of GPT-based meeting summaries, and why human verification and predictive AI remain essential for regulated decisions.
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How to utilise RegTech for the provision of ongoing advice services
Technology can help advice firms evidence ongoing service delivery, cohort customers and support consistent review activity.