24 Results found.

Connecting the dots: regulatory priorities for 2020/21

Insight — 15/04/20

JUST LAUNCHED: high-performance file reviews, powered by RegTech

Insight — 12/03/20

Case Study: Outsourced business assurance accelerated by RegTech

Insight — 06/02/20

What are the top risks advice firms should look out for?

Insight — 22/01/20

Independent advice is the way to successfully sell your firm

Insight — 10/10/19

How can advisers demonstrate good value for money?

Insight — 08/10/19

Firms need to adapt to address the advice gap

Insight — 22/08/19

Don’t be fooled by Brexit uncertainty

Insight — 26/06/19

Taking Reasonable Steps with Mini-bonds

Insight — 19/06/19

Investment platforms still have some room for improvement

Insight — 06/06/19

Regulation in 2019: Our outlook

Insight — 18/02/19

A Compliance Christmas Carol

Insight — 17/12/18

Ebenezer Scrooge is undoubtedly one of the most infamous bankers to ever spring forth from the pages of a book. “Hard and sharp as flint, from which no steel had ever struck out generous fire; secret, and self-contained, and solitary as an oyster.” Charles Dickens, A Christmas Carol, 1843 Althou

Doubt cast over firms’ data returns

Insight — 07/09/18

How can platforms keep up with product governance rules?

Insight — 14/06/18

How the robo-advice revolution could transform advice firms

Insight — 23/03/18

Our tips on meeting the FCA’s expectations around culture

Insight — 28/02/18

New data rules could destroy advisers’ lists

Insight — 28/02/18

The FCA has pension transfer changes in sight

Insight — 29/01/18

The FCA’s Update on Portable Fact Finds

Insight — 04/10/17

Regulation Overload: Are Advisers Ready For the MIFID II Mountain

Insight — 22/09/17

NatWest announces trial of TCC’s RegTech solution Recordsure!

Insight — 29/06/17

NatWest is trialling technology to give customers confidence they are getting the best possible information and advice. The bank has partnered with Recordsure and is exploring how its RegTech recording and analysis solution could be used to improve and monitor the quality of information and advice p

The future of advice

Insight — 08/06/17

Is The Age of Ultra-Niche, Tech-Savvy Compliance Officers on its Way?

Insight — 01/12/16

There has been some speculation that MiFID II will require compliance professionals to develop complex technical skills alongside deep subject-matter expertise. We examine the reality of this predicted rise in ultra-niche, tech-savvy compliance officers. MiFID II presents both a compliance chal

Perspectives on Plugging the ‘Advice Gap’

Insight — 24/11/16

After a YouGov poll earlier this year revealed just 8% of UK adults regularly engage a financial advisor, steps are being taken to address the growing “advice gap”. Of course, the focus for the Government and the FCA is firmly on the barriers to accessing financial advice – primarily, the affo