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 …
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 …
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) …
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 …
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 …
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 …
8 April 2022 Consumer Duty: Sounds a bit like a new tax on advisers, doesn’t it? You’ll likely have seen the term in FCA communication by now, but do you really know how the proposed legislation will impact your firm? …
6 April 2022 We are celebrating four successful years in business with record turnover results! In the last financial year, income has increased by 53% on the previous 12 months and we saw client numbers grow by a further 20%. …
24 February 2022 The FCA has warned firms attempting to limit their liabilities that they will still be expected to provide the best possible outcomes for consumers. This includes covering compensation claims. There has been a worrying rise in the …
9 February 2022 Insurance. Not the sexiest of subjects, but please bear with me. It might save you a pretty penny. Most advisory firms hold professional indemnity insurance to protect against FCA investigation, claims and fines, but in my experience, …