Category: Compliance

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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 …

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FCA to quiz firms with DB permissions

The FCA announced earlier this month that it will be contacting all firms who hold permission to advise on DB pension transfers and other safeguarded benefits, to request further data to allow them to continue to understand the shape of …

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Compliance Consultants – Are they really necessary?

Compliance Consultants or In-house Compliance Function? The question of whether to use a compliance consultant can be a difficult one to answer.  Even more so, if you purely focus on outsourcing as an additional cost to your business.  If this …

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Client Portal Due Diligence

Introduction More and more advisers are choosing to use client portals to enhance their client service proposition.  This rise in popularity is largely due to their clients being able to access their information more easily.  Fewer clients are wanting to …

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The value of appropriate Due Diligence!

How many of us would buy a used car without a test drive or a new home without a valuation? Close to none, we would guess. So, when it comes to buying a new business or perhaps in this age …