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Latest Insights

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

Money Marketing: Ongoing advice still on the regulator’s radar

Motor finance: is your firm ready for what's ahead?

Part 4: Aligning strategy and practice to support vulnerable customers

Part 3: Creating safe environments and evidencing support for vulnerable customers

Part 2: How to embed and evidence your vulnerability strategy

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Lastest Insights

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

Money Marketing: Ongoing advice still on the regulator’s radar

Motor finance: is your firm ready for what's ahead?

Part 4: Aligning strategy and practice to support vulnerable customers

Part 3: Creating safe environments and evidencing support for vulnerable customers

Part 2: How to embed and evidence your vulnerability strategy

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We connect the dots between culture, compliance and commercial outcomes, providing your business with long-term sustainability.

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MiFID II

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The what and how of ongoing suitability

While so much time and effort is put into getting that initial advice right, what happens when a clients’ circumstances change? Can you be certain that advice is still suitable?

17/07/20 Read more

Don't be fooled by Brexit uncertainty

It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.

26/06/19 Read more
News

Do platforms have ex post MiFID II disclosures that are up to date?

Time is running out out for firms to provide cost transparency documents and advisers are seeing the difficulties that lie ahead in acquiring the relevant information...

02/05/19 Go to article

Regulation in 2019: Our outlook

SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.

18/02/19 Read more

12 months of MiFID II

MiFID II recently hit a significant milestone, having been in force for 12 months. We examine the impact it has had on the industry.

04/02/19 Read more
News

MiFID II research pricing is still a grey area

Buy-side firms are continuing to struggle with some of the research issues raised in January 2018. TCC's Don Scott comments...

04/01/19 Go to article
News

Be prepared for a Mifid II crackdown in 2019

Advisers may face a crackdown on product governance rules in 2019...

21/11/18 Go to article
News

Investment platforms under fire over Mifid II data requirements

Some investment platforms are failing to help asset managers and advisers meet their Mifid II obligations...

12/04/18 Go to article
News

MiFID II Recording Requirements - The Main Challenges

We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.

27/09/17 Go to article
News

Regulation Overload: Are Advisers Ready For the MIFID II Mountain

We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.

22/09/17 Go to article

Case study: Meeting MiFID II rules with help from expert team

We found a flexible approach that utilised our client’s existing resource, keeping costs under control.

29/03/17 Read more

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

It's been speculated that MiFID II may require compliance professionals to develop complex technical skills alongside traditional skill sets. We explore the reality of this prediction.

01/12/16 Read more
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