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Generally, a T&C Scheme tends to concentrate on the individuals undertaking the work processes, such as advisers and para-planners, whilst…
Issues around diversity and inclusion have featured prominently in recent pronouncements from the FCA. The regulator has become increasingly concerned…
In March 2021, the FCA issued FG21/3: guidance on advising pension transfers. You may note that the title did not…
By the time firms read this article, there will be roughly one month left to respond to the FCA CP…
Having run supervision workshops for so many Senior Managers over the years, I would be a wealthy woman if I…
Let’s get the elephant on the table – you can’t TRAIN your way to a good culture. That statement gives…
One of the tasks undertaken as part of the supervisory process for advisers is a review of written work produced…
The cost effective way to boost your credit, collections, compliance, counter fraud, and debt advice capability by Fiona Macaskill, Director…