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What is an Insistent Client and how to deal with them. The FCA Handbook does not refer to insistent clients and there are no rules or guidance specifically about this. The following will hopefully help to show the FCA’s current stance after their recent consultation paper. IMPORTANT! Insistent Clients must not be confused with an […]
MiFID II finally comes into effect on 3 January 2018 Although there may still be some grey areas, it is time to make sure you have your compliance arrangements in place or being progressed so that there are no nasty surprises. Get a PDF of this post from this link (right click and “download as…”) […]
The Independent Financial Advice (IFA) sector was given a clean bill of health by the FCA in May 2017. Or was it? A suitability review of 1,142 separate pieces of advice given by 656 firms against the rules in the Conduct of Business sourcebook showed that in 93.1% of cases, advice provided was suitable. Interestingly […]
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Compliance Consultancy Compliance Consultant is one of the UK’s leading FCA compliance consultancies. We help financial services firms achieve FCA & PRA Authorisation, Manage their Regulatory Obligations, Perform Compliance Audits and Past Business Reviews, SYSC Assessments and Empower their staff with bespoke and Direct Compliance Training. Our compliance consultants are subject-matter experts and assist clients […]
A common misconception is that the suitability report has to ‘round up’ the whole process, discussions and background information that has occurred to date. It doesn’t. It simply forms part of the process of telling the story and, from a compliance perspective, will be read in conjunction with the rest of the data and information […]
‘Can help iron out rough edges’ Advisers should have their work checked over to make sure standards remain consistent and high, according to Threesixty Services managing director Phil Young. Small, independent and directly authorised firms performed slightly less consistently than their larger and restricted counterparts in the regulator’s recent suitability review, but Young argued even […]