Do you whistleblow or are you a “Me Too” sort of person?
The most recent scandals that have occurred have been quite enlightening about our society. We…
Yearly Archives: 2025
Client annual reviews
In February 2024, the FCA wrote to a number of financial advisory firms requesting information…
Navigating the “Failure to prevent fraud” legislation: How financial services employees can protect customers and drive compliance
As we all know, regulation evolves. The UK’s new “Failure to Prevent Fraud” legislation has…
AI – automated eyes and ears to augment human advice
One of the biggest worries for advisers in client meetings is the possibility of missing…