How do you take your risk? – EIS?
I have recently been involved with some Enterprise Investment Scheme (EIS) funds, which is a…
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"
The Insurance Distribution Directive
This is just another of the tsunami of rules being introduced in 2018, alongside MIFID…
Client reviews
This is quite a hot issue. The FCA has undertaken a thematic review, following RDR,…
Getting the most out of your approach with CPD
For many advisers, Continuous Professional Development (CPD) is a necessary evil that is foist upon…
T&C Guidance on suitability reports
The matter of suitability letters/reports has exercised the minds of advisers over the years. For…
Make T&C relevant
The FCA is keen to ensure that advisers are qualified to enable them to give…