Tag Archives: fos

Rocket Science? Not really!

remedial compliance sales process smcr ifa kyc questions

Quite simply put, if you are in sales, there is no way you should recommend anything to your client’s unless you can prefix it with “… because you said X and Y and Z, I recommend ABC …”

The Myths Around Suitability Reports And How To Be A Hero

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 […]