Modern Listing Example
T&C – How to take on a Trainee Adviser with no previous advisory experience
Firms rarely take on would-be financial advisers with no previous advisory experience these days. Why…
Will the Mortgage Market Review be successful in its aims?
In April this year new lending rules were introduced which were designed to regulate the…
Technology, silos and denial: why record keeping is such a problem for regulated firms
Since its formation in 2013, the FCA has made it clear that it is looking…
Catering to female clients
Way back in 1817 the New York Stock Exchange (NYSE) opened. The grand building on…
Using behavioural learning and development techniques to drive positive culture
Despite the current economic growth and positivity that governmental and regulatory advisers across the UK…
The evolving approach of T&C
In 2013 the government signalled a tougher Training and Competency (T&C) regime for regulated financial…
So you’ve had a 166?
Ok, we all know what happens now and in contrast to the fine, one of…
T&C Best Practice – 100% better Business Case
The current Consultation Paper from the FCA and PRA covering the introduction of the new…