AI in financial services: control, evidence and regulation
The FCA may not be making headlines about ongoing advice service failings, but many wealth managers
20/04/26
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How to stay ahead of FCA demands and unlock AI’s potential for wealth management compliance
The FCA may not be making headlines about ongoing advice service failings, but many wealth managers tell us that the regulator has been active, emphasising the requirement of robust evidencing of ongoing servicing under the Consumer Duty.
Register for exclusive, in-person wealth management industry event here
Why does it matter now
The FCA, under the Consumer Duty, has set clear expectations for wealth management firms:
- Substantive, evidenced annual reviews – no more box-ticking
- Documented client meetings, up-to-date fact finds, and suitability letters
- The ability to respond rapidly to s165 information requests under FSMA 2000
Most firms struggle to meet these demands without modern technology or extensive manual work. Inconsistent processes or weak records can leave you exposed to resource-heavy FCA investigations and harsher consequences.
Register for exclusive, in-person wealth management industry event here
Taking action
That’s why we’re bringing industry leaders together for an exclusive, interactive event, where you’ll explore how to sharpen your data-led supervision strategies and leverage AI to streamline reviews, helping you stay ahead of FCA expectations.
AI to supercharge your ongoing advice review process
🗓 Tuesday, 16th September 2025, 10.30am – 1.30pm
📍 The Bloomsbury, 16-22 Great Russell Street, London, WC1B 3NN
🍽️ Lunch & refreshments included
🤝 Peer-to-peer networking
At this in-person event, you’ll discover how to:
- Unleash 35% more time for client-facing advice
- Cut file review costs by 40%
- Complete suitability checks 50% faster
- Keep pace with regulatory expectations – without burning out your team
Hear real-world insights from Attivo (innovative wealth manager), DACBeachcroft (legal experts), TCC (experienced compliance practitioners) and Recordsure (proven AI for ongoing advice professionals).
Don’t miss out on invaluable peer learning, proven best practice examples and practical AI-driven solutions. Join us and industry thought leaders to ensure your firm is ahead of the curve.
Register your interest
AI to supercharge your ongoing advice review process event
🗓 16th September 2025
⏰ 10.30am – 1.30pm
📍 The Bloomsbury, 16-22 Great Russell Street, London, WC1B 3NN
🍽️ Lunch and refreshments provided
👥 Peer-to-peer networking