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 …
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. …
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 …
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 …
A new arrangement between HMRC and the FCA highlights the need for advisors to remain vigilant of their compliance obligations surrounding furloughed staff. A collaboration agreement between the FCA and HMRC, announced on May 1st 2020, has the potential for …
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 …
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 …
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 …