Consumer Duty: Managing foreseeable harm in the advice process
In my last article (December’s edition), I talked about the fact that once Consumer Duty…
Browsing: Regulatory Specialist
Hard Times
I hope Charles Dickens will forgive me for borrowing my title from one of his…
Supporting the supervisor
In the January edition of T-C News I wrote about “Empowering the Supervisor” in which…
Diversity and Inclusion
The FCA has focused on Diversity and Inclusion (D&I), as one of its main goals…
The Consumer Duty – T&C next steps
By the time you are reading this article your firm’s implementation plan detailing how you…
Technology is the way forward
A few months ago, I authored an article explaining my plans to bring a new…
Raindrops on roses
This month I am focusing on some of my favourite things from my roles, first…
Training and Competence isn’t going away…
Back in the 1990s, LAUTRO launched Training & Competence for those providing advice to retail…
Is it worth it?
Like all disciplines and areas of work, T&C changes and evolves over time in response…
Why you should regularly review and evaluate your competence frameworks
Whether you are a solo regulated firm having completed your first fit and proper assessments…