TCC Group

TCC Group

Trusted compliance partner

11/10/18

Compliance tip: How to prepare for compulsory reassessments

To improve the knowledge of retail investment advisers, the FCA and CII have introduced an annual examination. Our Senior Regulatory Consultant James Marshall discusses how firms should respond.

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To improve the knowledge of retail investment advisers, the FCA and CII have introduced an annual examination. Our Senior Regulatory Consultant James Marshall discusses how firms should respond.

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Essential industry insights and analysis of latest critical regulatory priorities

The financial services sector has been abuzz with a variety of pressing issues - from ongoing advice services, motor finance and Consumer Duty expectations, to the crucial role of technology for outcome evidencing.