Vulnerability and the real advice gap
There has been a lot written about vulnerability; how we assess clients for vulnerability, how we train our people to…
Why FCA-regulated firms can’t skip audits: It’s more than just ticking boxes
Financial services firms, especially those operating under the watchful eye of the Financial Conduct Authority (FCA), audits aren’t just an…
Do we need a more modern approach to addressing T&C?
In a previous article, we looked at the FCA’s focus on fair value and how regulated firms should invest in…
Roleplays: Valuable or not?
We have all attended roleplays, whether to facilitate one as a supervisor, or whether to actively participate either as perhaps…
Who or what do you trust?
Yesterday, I attended the Association of Professional Compliance Consultants Culture Working Group for a presentation by Roger Miles on “AI…
Why does nobody want to pay pensions these days?
I went to the Invesco “Summer” drinks recently, (thanks Invesco) – I think I was invited as a journalist and…
