Are you an adviser?
We live in interesting times as financial advisory firms come to terms with the lockdown…
Author Tony.Catt
Tony.Catt
TC Compliance Services Tony Catt is a freelance compliance consultant working with several firms of different sizes. "I have previously been an adviser, which gives me a good understanding of the advice process and dealing with customers and I enjoy a close relationship with my adviser clients"
Coronavirus -Covid19 – How are you?
I am sorry to add to the column inches devoted to Covid 19, but I…
Too risky to recommend?
This article is to look at investment options that are available for direct investments or…
FCA Business Plan 2019/20
Recently, the FCA published its business plan for the coming year. This makes interesting reading.…
Firm culture in financial services
Having worked with many different organisations, I have some experience about the different cultures that…
SM&CR How to conduct a FIT assessment
The Senior Managers and Certification regime (SM&CR) was introduced in 2015 and has been in…
Education, education, education
I have read some interesting articles recently regarding education for advisers and these have raised…
Regulation and compliance b******s
As the number of “GDPR (General Data Protection Regulations) compliant” privacy notices in my inbox long…
How do you take your risk? – EIS?
I have recently been involved with some Enterprise Investment Scheme (EIS) funds, which is a…
The Insurance Distribution Directive
This is just another of the tsunami of rules being introduced in 2018, alongside MIFID…