Modern Listing Example
Arrears fines – will Consumer Duty solve the issue?
Has anyone else noticed a change of tone coming out of the FCA these days? …
Enhancing governance through apprenticeships: Meeting FCA’s Consumer Duty expectations
The Financial Conduct Authority’s (FCA) recent publication on good and poor practices related to Consumer…
It’s personal and it’s business (to misquote the Godfather!)
Can you give me a breakdown of your current client database? How have you categorised…
Business planning for 2025 – Managing macro and micro
Happy New Year! – which it may or may not be. Remember how we approached…
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…
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…