IS YOUR CERTIFICATION PROCESS FIT FOR PURPOSE?
23 June 2022 The third anniversary of the Senior Management and Certification Regime (SM&CR) is fast approaching. It’s not a red-letter day, but with the passing of another year, it seems like a good time to ask if your certification …
ARE YOU READY FOR INTENSIFIED AR REPORTING?
20 June 2022 IFPR is not the only contentious acronym hitting the headlines recently. The Appointed Representatives regime (ARR) has morphed in the last few years into a controversial debate about how financial products and services should be delivered. Whilst …
DB SPECIALISTS TAKE PRIDE IN SURVIVING FCA INVESTIGATION
13 June 2022 We are very proud to be supporting a Chesterfield-based firm of defined benefit specialists who are proving it is possible to survive FCA scrutiny and get back to business. It has taken Holistic Pension Transfer Specialists (HPTS) …
HOW WILL FCA’S VISION OF FUTURE AFFECT YOUR FIRM?
24 May 2022 FCA chief executive, Nikhil Rathi, has set out his strategic vision and ambitions for the next three years. He claims the organisation is now “focusing on results, rather than being driven by processes,” so we thought, given …
B-COMPLIANT BOSS SHORTLISTED FOR ‘WOMAN OF YEAR’ AWARD
9 May 2022 Vicky Pearce, founding director of B-Compliant, has made the finals of the Women in Financial Advice Awards for the third consecutive year. Financial compliance specialist, Vicky, is shortlisted in the ‘Woman of the Year – Adviser Support …
TRUE FILE REVIEWS TAKE TIME TO COMPLETE
11 April 2022 We’re firm believers that you get what you pay for. But do you know exactly what you are paying for? File reviews are a classic example. Compliance consultancies have differing opinions about what constitutes a file review …