102 Results found.

Why it’s time to rethink your approach to ongoing advice services

Insight — 12/06/25
At intelliflo’s Innovate 2025 event this week, a spotlight was cast on one of the most urgent issues facing financial services firms: the growing regulatory pressure to deliver – and prove they’ve delivered – ongoing advice services to their clients.   Presented by TCC’s Strategic Reg

Part 4: Aligning strategy and practice to support vulnerable customers

Insight — 30/05/25
In the final part of our vulnerable customers webinar series, Garry Evans, TCC’s Chief Product and Commercial Officer outlines TCC’s house view which aligns with the FCA’s five key areas of focus. Watch as Garry summarises the importance of aligning culture and strategy, designing adaptable se

Part 2: How to embed and evidence your vulnerability strategy

Insight — 28/05/25
In part two of our recent webinar, TCC’s Chief Product and Commercial Officer, Garry Evans invites Director of Advisory Practice, Gary Maude, to delve deeper into the practical areas where firms must focus their efforts to support customers with vulnerable characteristics. Gary offers a comprehens

Part 1: Understanding poorer outcomes for vulnerable customers

Insight — 27/05/25
In a recent TCC webinar, our in-house experts - Garry Evans, Chief Product and Commercial Officer, Gary Maude, Director of Advisory Practice, and Juana Diaz-Landinez, Senior Regulatory Consultant - shared practical insights on what the FCA’s expectations around vulnerability mean for firms in real

Is your firm truly ready for ongoing advice compliance?

Insight — 25/04/25
The FCA recently reported that 83% of ongoing advice suitability reviews were conducted as required. On the surface, this sounds like great news - but before breathing a premature sigh of relief, it's important to consider the broader picture.   To do just that, TCC reached out to wealth manage

Part 2: FCA’s ongoing advice services review: next steps for wealth managers

Insight — 01/04/25
TCC recently held a well-received webinar entitled ‘What risks remain for firms following the FCA’s ongoing advice review findings?’ to share our house view on the regulator’s latest communication for wealth managers. In part two of our recent webinar, entitled ‘What Risks Remain for Firms

Part 1: FCA’s ongoing advice services review: the scope

Insight — 31/03/25
TCC recently held a well-received webinar entitled ‘What risks remain for firms following the FCA’s ongoing advice review findings?’ to share our house view on the regulator’s latest communication for wealth managers. TCC’s Chief Product and Chief Commercial Officer, Garry Evans, was joine

TCC roundup: FCA’s ongoing advice review and data in compliance

Insight — 18/03/25
What you need to know about the recent FCA findings, the unnecessary hurdles insurance firms create, plus get familiar with the importance of data-driven regulation. FCA ongoing advice review findings: what you need to know [one_third padding="10px 30px 10px 10px"] [/one_third] [two_third_last paddi

Q&A part 5: How can firms keep their ongoing advice services compliant?

Insight — 13/03/25
Following the FCA's release of its findings into its recent ongoing advice review, TCC’s Chief Product and Commercial Officer Garry Evans catches up with our Technical Director David Boyhan – who specialises in wealth management to unpack all the detail. In the final instalment of the five-part

Q&A part 4: How do the FCA’s review findings relate to the Consumer Duty?

Insight — 13/03/25
Following the FCA's release of its findings into its recent ongoing advice review, TCC’s Chief Product and Commercial Officer Garry Evans catches up with our Technical Director David Boyhan – who specialises in wealth management to unpack all the detail. In the fourth instalment of the five-part

Q&A part 3: How should firms be considering quality and suitability of advice?

Insight — 12/03/25
Following the FCA's release of its findings into its recent ongoing advice review, TCC’s Chief Product and Commercial Officer Garry Evans catches up with our Technical Director David Boyhan – who specialises in wealth management to unpack all the detail. In the third instalment of the five-part

Q&A part 2: What should firms do about disengaged clients?

Insight — 11/03/25
Following the FCA's release of its findings into its recent ongoing advice review, TCC’s Chief Product and Commercial Officer Garry Evans catches up with our Technical Director David Boyhan – who specialises in wealth management to unpack all the detail. In the second instalment of five-part min

Q&A part 1: What are the key findings from the FCA’s ongoing advice review?

Insight — 10/03/25
Following the FCA's release of its findings into its recent ongoing advice review, TCC’s Chief Product and Commercial Officer Garry Evans catches up with our Technical Director David Boyhan – who specialises in wealth management to unpack all the detail. In the first of this five-part mini-serie

Q&A: The important insights from the FCA’s ongoing advice review findings

Insight — 06/03/25
Back in February 2024, following concern from the FCA that ongoing advice services may not have always been delivered as they should have been, the regulator requested data from 22 of the largest advice firms.   The data survey asked firms to submit information about the number of clients who w

Navigating ongoing advice servicing challenges in wealth management

Insight — 20/11/24
Ongoing advice servicing is currently the biggest challenge for the wealth sector and probably will be for some years to come.   Paying for what you don't need or receive One of the key concerns from the FCA – one that it has had for several years – is that many advice clients sign up for a

FCA fines highlight the need for better customer support

Insight — 24/10/24
Two recent huge fines imposed by the FCA have once again spotlighted the ongoing need for improvement across all forms of financial service lending. It highlights that firms need to ensure that customers are receiving effective support and good outcomes in periods when they experience financial diff

Five key questions to consider when changing your advice model

Insight — 22/08/24
Recently there has been an uptick in investment advice firms looking to make some material changes to their propositions, TCC’s regulatory experts report.   For example, some advisers are looking to introduce in-house investment platforms or to manage portfolios on a discretionary basis, to i