TCC Group

  • Cancel

TCC Group

  • Cancel

Explore

  • Services
  • RegTech
  • Insights
    • Case studies
    • Consumer Duty
    • Regulatory change
    • Advice & suitability
    • DB transfers
  • About us
    • Why TCC Group
    • Meet the team
    • Awards
    • Our news
  • Work for us
    • Job Board
  • Contact
  • Solutions
  • 020 3772 7230
  • Email
  • connect
  • follow

Latest Insights

Money Marketing: Ongoing advice still on the regulator’s radar

The FCA’s multi-firm review flags gaps in support for vulnerable customers

TCC Group acquires Momenta Group to expand compliance and resourcing solutions for regulated industries

TCC April roundup | FCA ongoing advice review: key findings and remaining risks

A growth agenda is good for the consolidation market - Money Marketing

Preparing for change: FCA's review of protection product distribution and value

TCC Group

Intelligent compliance for outcomes that matter

  • Search
  • Explore
  • Services
  • RegTech
  • Insights
  • About
  • Work for us
  • Contact

Managed services

  • Suitability reviews
  • Redress calculations
  • Complaint handling
  • Paraplanning support

Advisory services

  • Consumer Duty compliance
  • Equity release advice
  • Regulatory due diligence
  • Appointed Representatives
  • Section 166 skilled person reviews
  • Ongoing compliance support
  • Regulatory change

Specialist resourcing

  • Strategic resourcing
  • Sectors we serve

Can't find what you're looking for?

Contact us

Sectors

  • Specialist Resourcing NEW
  • Meet Our Team
  • Culture services
  • Advisory services
  • Managed services
  • Download – FCA Business Plan Lunch & Learn
  • Download – The future of wealth management video
  • Download – diversity & inclusion podcast series
  • Download – How to assess your culture video
  • Download – Culture eBook
  • One step closer to truly understanding your culture…
  • Coronavirus updates: thanks for signing up!
  • Thanks for downloading
  • Quick guide: what’s on the regulatory agenda in 2020?
  • Solutions
  • About us
  • Sitemap
  • Full service list
  • Privacy Statements
  • Insights
  • Privacy Statement: TCC Associates
  • InfoSec guidance for SMCR PRO users
  • Privacy Statement: TCC Employees
  • Privacy Statement: Visitors & Clients (Website and Office)
  • RegTech
  • Connect with us
  • Copyright Statement
  • Subscribe
  • Thanks for subscribing!
  • Intelligent compliance for outcomes that matter
  • Work for us
Transforming clients' culture and conduct risk in governance, regulation and compliance.

Insights

  • Insights
  • Case studies
  • Consumer Duty
  • Customers & vulnerability
  • DB transfers
  • Advice & suitability
  • View all insights

Subscribe to receive regulatory news and insights

Lastest Insights

Mastering regulatory due diligence: Why your next acquisition depends on it

Why it's time to rethink your approach to ongoing advice services

Money Marketing: Ongoing advice still on the regulator’s radar

Motor finance: is your firm ready for what's ahead?

Part 4: Aligning strategy and practice to support vulnerable customers

Part 3: Creating safe environments and evidencing support for vulnerable customers

Work for us

Contractors

  • Jobs
  • Becoming a TCC Associate

Permanent

  • Jobs
  • Becoming a TCC Employee
  • Visit Specialist resourcing

Lastest Jobs

Permanent

Head of Compliance Monitoring
£100,000 plus bonus

Contract

Trade Support Senior Administrator

Contract

File Reviewer
£250 per day (via umbrella)

Contract

Pensions Business Analyst
£500-£550 per day via umbrella - Inside IR35

About us

  • Why TCC Group
  • Culture
  • Meet the team
  • Awards
  • Our news
We connect the dots between culture, compliance and commercial outcomes, providing your business with long-term sustainability.
29/03/17

Case study: Meeting MiFID II rules with help from expert team

We found a flexible approach that utilised our client’s existing resource, keeping costs under control.

Filter by —

  • Content
    • Case studies
    • Webinars & podcasts
    • Analysis & perspectives
    • How-to guides
    • Press releases
    • TCC in the media
  • Sector
    • Motor finance
    • Investment management
    • Retail investment
    • General insurance & protection
    • Retail banking
    • Retail lending
    • Pensions & retirement income
  • Topic
    • Motor finance regulations
    • Consumer Duty
    • AML / KYC / CDD
    • Coronavirus
    • Regulatory change
    • DB transfers
    • SMCR & accountability
    • Technology & innovation
    • Competition
    • GDPR & data
    • Advice & suitability
    • Culture & governance
    • MiFID II
    • Customers & vulnerability
Remove Filters
Back to Insights

The challenge

A large advisory network and portfolio manager was struggling to get to grips with the requirements of MiFID II and their obligations. With both its business lines affected by the new regulation, our client needed to understand how MiFID II overlapped with other regulatory changes like IDD, making it a particularly complex review. Our client was also struggling to prioritise workload and get the necessary change programmes off the ground quick enough to meet the implementation deadline.

Our solution

Our team had just the right mix of in-depth regulatory knowledge and experience of managing regulatory change programmes. We developed a bespoke solution for our client, including:

  1. An in-depth review of our client’s business model and propositions
  2. Detailed ‘side-by-side’ analysis of the new and current rules in order to identify which rules represented a material change to the current regulatory framework.
  3. Identify the impact on our client – an Article 3 firm.
  4. Identify gaps in the current operating model and compliance framework
  5. Analysis of other forthcoming regulatory changes in order to ensure these were also accommodated by any actions taken

Having identified the gaps and key actions needed, we put together an action plan that our client’s internal team could easily roll out. While keeping implementation in-house meant cost savings for our client, we made sure that standards didn’t suffer by providing assurance and oversight. We double checked that changes to processes and procedures were all appropriate and that the project stayed on track, as well as providing training sessions for key stakeholders. This meant our client was ‘MiFID II ready’ well before the deadline, safe in the knowledge that all procedures, systems and controls were up-to-date.

The TCC difference

  • Our expertise and experience of managing regulatory change programmes meant our client was fully compliant with FCA requirements well before the implementation deadline.
  • We took the hassle out of MiFID II compliance by unwinding complex information and taking care of the planning.
  • Our intelligent allocation of resources and flexible approach utilised our client’s existing team, keeping costs under control but standards high.

Latest Insights

News

Money Marketing: Ongoing advice still on the regulator’s radar

12/06/25 Go to article

The FCA’s multi-firm review flags gaps in support for vulnerable customers

01/05/25 Read more

TCC Group acquires Momenta Group to expand compliance and resourcing solutions for regulated industries

28/04/25 Read more

TCC April roundup | FCA ongoing advice review: key findings and remaining risks

23/04/25 Read more
Jump to top
  • Topics
    • Consumer Duty
    • Regulatory change
    • Customers & Vulnerability
    • DB transfers
    • Advice & suitability
  • Insights
    • Analysis & Perspectives
    • White Papers & Guides
    • Case studies
  • About us
    • Meet the team
    • RegTech
    • Press releases
  • Work for us
    • Job Board
  • Connect with us
    • Head Office
    • Leeds
  • Privacy Statements
  • Marketing & data preferences
  • Copyright Statement
  • Sitemap
  • Cookie settings
© 2025 The Consulting Consortium Ltd.
Site by VGROUP
The Consulting Consortium Ltd is a company registered in England and Wales.
Registered number: 04144405. Registered office: 10 Lower Thames Street, London, EC3R 6EN

How can we help?

  • Phone number020 3772 7230
  • Email addressemail
  • connect
  • follow
Our website uses cookies to improve your experience and to make your interactions with our website more meaningful. By clicking “Accept”, you consent to the use of all pre-set cookies. You can us Cookie Settings to manage your preferences. Read More
Cookie settingsAccept All Reject
Manage consent

Privacy Overview

This website uses cookies to improve your experience while you navigate through the website. Out of these, the cookies that are categorized as necessary are stored on your browser as they are essential for the working of basic functionalities of the website. We also use third-party cookies that help us analyze and understand how you use this website. These cookies will be stored in your browser only with your consent. You also have the option to opt-out of these cookies. But opting out of some of these cookies may affect your browsing experience.
Necessary
Always Enabled
Necessary cookies are absolutely essential for the website to function properly. This category only includes cookies that ensures basic functionalities and security features of the website. These cookies do not store any personal information.
Non-necessary
Any cookies that may not be particularly necessary for the website to function and is used specifically to collect user personal data via analytics, ads, other embedded contents are termed as non-necessary cookies. It is mandatory to procure user consent prior to running these cookies on your website.
SAVE & ACCEPT