How can firms keep their ongoing advice services compliant?
Learn the dual go-forward and backward-looking compliance strategies required to keep your ongoing advice services fully compliant under the FCA’s…
Service: Compliance AI & RegTech
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How should firms be considering quality and suitability of advice?
Discover why advice firms must shift their focus from simple service delivery checklists to robustly monitoring and evidencing the suitability…
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What should firms do about disengaged clients?
Learn how advice firms should manage disengaged clients under the FCA’s ongoing advice review, and understand the data, disengagement policies,…
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Key findings from FCA’s ongoing advice review
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Q&A: The important insights from the FCA’s ongoing advice review findings
TCC’s Q&A video unpacks the FCA’s ongoing advice review findings, explaining what firms must do about clients who did not…
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Understanding & implementing the FCA’s ongoing advice findings
The FCA has published findings on ongoing advice services, identifying clients who did not receive paid-for reviews. This article sets…
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Benefit your business by enhancing customer data
Practical steps for enhancing client data to meet FCA reporting requirements on ongoing advice reviews and retirement income, while identifying…
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A Consumer Duty recap: frequent obstacles to achieving good customer outcomes
A recap of the frequent obstacles firms face across the Consumer Duty’s four outcomes, with the key questions boards should…
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Seven key topics to ensure the success of your ongoing advisory reviews
TCC and Recordsure outline seven regulatory standards firms should address to deliver compliant ongoing advice reviews, from a positive customer…
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The benefits of enhancing data capture go beyond compliance – Money Marketing
Find out why enhanced data capture helps advice firms meet FCA expectations and keep client reviews on schedule, according to…