Category: Guidance and Advice

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Coronavirus….Is your business prepared?

Business Continuity Plans (BCP) With the spread of the virus not showing any signs of slowing down and cases in the UK growing by the day, have you thought about how your business would cope? All businesses should have a …

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Vulnerability – Do you know how to spot it?

Vulnerability has been an area of focus for FCA since their occasional paper 8 back in 2015, increasing so in recent times. Following their consultation on the Fair Treatment of Vulnerable Customers (CG19/3) in July, the FCA is keen to …

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Going Directly Authorised

Are you currently a Registered Individual (RI) or Appointed Representative (AR) and considering going Directly Authorised? If so, read on… Making the decision to go Directly Authorised (DA) can be a daunting prospect.  But it needn’t be with the right …

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Thinking of selling your business?

Selling your business is not a process to be taken lightly.  If you are currently toying with the idea but are unsure of the process and your due diligence requirements, continue reading and we’ll give you a brief overview. Your …

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Power of Attorney

Introduction A couple of weeks ago we looked at identifying vulnerable clients, this week we wanted to touch on Power of Attorney; what it is, what they can do and what they can’t do. It is a term that is …

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Consolidation

I have been working in the paraplanning profession for 15 years now and for a large part of this, I have been helping advisers with the efficient transition of their clients’ assets on to platforms. I was recently able to …