Permissions: Use them or lose them
This article was first featured in Money Marketing in June 2020. Permissions: Use them or Lose them We often come across firms that hold certain regulatory permissions, but don’t use them. The first one that comes to mind is mortgages. …
Let’s B-COME Partners
We have launched a new service to help small, independent financial firms meet their regulatory responsibilities and outsource complicated, time-consuming back office tasks. Subscribers to our Partnership Package receive a compliance monitoring plan, which we then manage for you, submitting …
Certification for IFAs – the challenges
Certification: the challenges Jeremy Smith of B-Compliant, features in Money Marketing today (see here) – as he takes a look at the challenges of the certification regime and highlights the importance of being proactive to avoid mishaps… For many people …
Royal London invites B-Compliant to cover compliance for RLAM series of events
We were delighted to be invited by Royal London to discuss some of the key compliance topics facing advisers and wealth managers in 2020. Our webinar, entitled ‘Compliance Corner’ was part of a range of webinars hosted by Royal London. …
New FCA directory regime for advisers
We were pleased to brief readers of Professional Adviser about the need for IFAs to prioritise the submission of data for the new ‘FCA Directory of certified and assessed persons’ which is going live later this year under the SM&CR. You …
How to get effective professional indemnity for your IFA firm
How to get professional indemnity as a financial adviser. If you’re an adviser, you’ll know that maintaining compliant professional indemnity is one of the greatest challenges advisers you’ll face in 2021. The number of insurers who underwrite this kind of …