The keeper of quality!!


In my last article I introduced you to financial services’ best-kept secret: the BS 8453 Compliance framework for regulated financial services firms, which was developed in 2011 with the sole intention of establishing a professional framework for an effective compliance management system. So, almost a decade on, what impact have we seen? Well, in that time we have seen significant changes to both the educational and operational environments in which advisers and planners work; we have also seen huge changes to the skills, abilities and approaches needed by those holding compliance responsibilities. For many firms, the job of quality gatekeeper and…

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