Lessons from the FCA’s review for advice and wealth management consolidation
At TCC Group, we’ve spent decades helping financial services firms not just stay compliant but build
02/12/25
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The future of AI in compliance
At TCC Group, we’ve spent decades helping financial services firms not just stay compliant but build trust through doing compliance well. Lately, the landscape has shifted faster than many expected, in particular with the regulator tightening up expectations around evidence, suitability and good customer outcomes.
That’s why we’re excited to be co-hosting with Recordsure a two-part webinar series; ‘AI in compliance’ this October.
What the webinars cover
The webinars focus on two key challenges that we’re hearing about from clients every day:
Right-first-time suitability: 2nd October, 12.30pm
Getting suitability assessments correct first time isn’t just “nice to have”, it’s essential. Firms that are stretched thin with high caseloads often find themselves doing rework – not a great use of resources or time. But by combining AI and practitioner expertise, we’ll explore how to improve consistency, cut routine work and ensure evidence is robust enough to stand up to regulatory scrutiny.
Building on solid foundations: 14th October, 12.30pm
As generative AI becomes more commonplace, many are tempted to leap straight into deploying it. At TCC, we believe it must be part of a broader, more responsible foundation. We’ll discuss the importance of using a combination of Generative AI and Predictive AI to build and deliver evidence frameworks that last.
Why this matters
The FCA is increasingly expecting more than summaries, they want auditable, reliable records. Doing this quickly without the right guardrails can introduce real risks: misunderstanding, rework and even regulatory penalties.
At TCC, we believe compliance should be forward-looking. It shouldn’t just react to rules but anticipate what the regulator will expect and help firms build in those capabilities. Together with Recordsure we can help do just that. Gain oversight that frees up compliance teams from routine tasks to ensure that when regulatory questions come, the necessary evidence is there.
Compliance isn’t just about avoiding fines. It’s about doing business the right way.
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