195 Results found.
The recent release from the FCA on non-financial misconduct highlights a critical shift in regulatory expectations. As firms strive to align their cultures and governance with these new standards, understanding the FCA's guidelines is essential to fostering a compliant, ethical workplace.What firms
The best of our online sessions with experts All our online sessions in one place - all you need to know about the latest changes in the regulatory landscape, top tips and best practice for financial services firms. https://vimeo.com/1161822264 Balancing commercial ambition with regulatory discip
Recently featured in IFA Magazine, TCC Group explores how advice firms will need to adapt their compliance approach in 2026 as the FCA shifts from interpreting Consumer Duty to demanding clear, demonstrable proof. Joe Norburn, CEO of TCC Group (TCC, Recordsure, Momenta), highlights that despite ongo
As financial services firms consider what lies ahead for them in 2026, the FCA’s priorities for 2025–2030 continue to emphasise the delicate balance between supporting growth and ensuring firms “do the right thing.” The FCA’s five-year strategy, set out in March 2025, is anchored in four
Following the FCA’s evolving focus on evidencing compliance, Joe Norburn, CEO of TCC Group (TCC, Momenta and Recordsure), has outlined how firms can prepare for 2026 by adopting data-led approaches that combine predictive AI with human oversight — as featured in IT Reseller. If 2024 and 2025 wer
Following the FCA’s renewed emphasis on Consumer Duty, TCC’s CEO, Joe Norburn, has examined how firms can meet rising expectations by combining predictive AI with GenAI to close compliance gaps and deliver evidential customer outcomes — as featured in Always Finance News. By deploying AI that
Following the FCA’s latest feedback on ongoing advice, TCC’s Strategic Regulatory Director, Jason Wintie, has explored what this renewed focus on historic delivery means for advice firms as featured in Always Finance News. The regulator's softer tone should not be mistaken for lesser expectation
In her recent address to The Investing and Saving Alliance (TISA) annual conference, the FCA’s Deputy Chief Executive Sarah Pritchard highlighted that financial wellbeing in the UK “goes beyond one size fits all". With shifting demographics, evolving life goals and increasingly complex financ
The challenge A wealth management firm received a Section 166 (s.166) notification, prompting an investigatory review of issues related to ongoing services. The firm required external support to manage the scale and complexity of the upcoming remediation programme. The firm sought a partner that cou
Following the FCA's recent review of consolidation activity across the advice and wealth management sector, TCC's Strategic Regulatory Director, Jason Wintie has considered what this means for firms in Money Marketing today. Read why the regulator’s findings highlight several structural risks
Last week, TCC and Recordsure launched their 'AI for compliance' webinar series with a focused discussion on suitability reviews. Our second excerpt from the session explores how firms can move beyond simply ticking boxes to create a process that genuinely improves client outcomes, reduces rework an
TCC and Recordsure opened their 'AI for compliance' webinar series with a spotlight on suitability reviews – an area many wealth managers struggle to get it right first time. Hosted by TCC and Recordsure's Chief Product and Commercial Officer, Garry Evans and joined by TCC's Technical Director, Da
Our recent ‘AI to supercharge your ongoing advice’ event, held in the Bloomsbury in London, sparked a multitude of engaging conversations around advice, compliance and the role of AI. That’s why we’ve created a comprehensive Q&A follow-up document, capturing over 30 of the most pressing
Two years on from the FCA’s introduction of the Consumer Duty, many firms have made meaningful strides - but key expectations remain unmet. In a recent article, TCC's Senior Regulatory Consultant Juana Diaz-Landinez highlights persistent challenges around vulnerability, customer support and
The financial services sector is under more pressure than ever. From new regulatory frameworks to growing customer vulnerability and the rising costs of non-compliance, firms are operating in an environment where missteps can have significant financial and reputational consequences. In this climate,
