144 Results found.
AI is reshaping many of the routine, time-intensive tasks across various industries – and wealth management is certainly no exception. Yet AI tools vary widely in their capabilities and choosing the wrong type for any given task can undermine the very results firms set out to achieve. In the drive
Suitability reviews are often seen as a routine part of compliance - a box to tick during new business processes. Yet it’s the quieter, overlooked cases that can pose the biggest risks: annual reviews where nothing changes. https://vimeo.com/1127845321 The reality of no change reviews During our r
Recordsure’s CTO, Kit Ruparel, has been a long-standing advocate of selecting appropriate AI for the job in hand: Predictive AI for uncovering and interpreting content, and Generative AI for creating new content. As AI Agent technologies ride the crest of the hype wave, Kit fears that the ease
During our first ‘AI in compliance’ webinar last week, TCC’s Operations Director, Neil Dethick, turned the spotlight on a familiar challenge within wealth management - how to extract truly meaningful Management Information (MI) from suitability reviews. Despite their potential, these reviews o
The FCA’s long-awaited consultation on the motor finance redress scheme, published on the 7th October, marks one of the most significant regulatory developments for the sector in recent years. After months of anticipation, firms now have greater clarity on the scope, methodology and expectations t
Attivo, a forward-thinking and rapidly growing independent financial advice firm, has implemented Recordsure’s predictive AI technology to enhance its ongoing advice compliance, ensure consistent and compliant service delivery, and reduce the cost of file reviews. Attivo utilises Recordsure AI to
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
The FCA releases its update on the motor finance redress scheme, marking one of the most significant shifts in the motor finance landscape in years. The FCA wants to set up an industry-wide compensation redress scheme to reimburse motor finance customers who were treated unfairly from 6 April 2007
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
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 c
As the motor finance sector waits for clarity from the FCA on the final scope of its redress scheme, firms can’t afford to sit still. In this concluding part of our webinar, the panel outlines the recommended next steps for motor finance firms - from data mining and disclosure reviews to early pro
Resourcing is set to become one of the biggest challenges in delivering the upcoming motor finance remediation and redress programme. In this section of our recent webinar, Mike Morris Head of Operations at Momenta shares how the Supreme Court ruling has shifted the balance from high volume automate
The FCA may not be making headlines about ongoing advice service failings, but many wealth managers tell us that the regulator has been active, emphasising the requirement of robust evidencing of ongoing servicing under the Consumer Duty.Register for exclusive, in-person wealth management industry e
In this section of the webinar, our experts unpack the Supreme Court’s nuanced stance on commission arrangements - recognising that while such payments may be legal, the fairness of each case depends on its specific circumstances. Using the Johnson case as a focal point, they explore factors such
The Supreme Court’s recent ruling on discretionary commission arrangements (DCAs) has sent shockwaves through the motor finance sector, with far-reaching implications for redress and complaint handling. In this part of our webinar, Gary Evans and Gary Maude break down the facts — from the FCA’
The FCA’s proposed motor finance redress scheme has sparked concern across the sector, with many fearing the bar for “unfairness” is set too low - potentially widening complaint scope and increasing liability. This session, led by experts from TCC, Recordsure and Momenta, examines what the co
The FCA’s proposed motor finance redress scheme has sparked concern across the sector, with many fearing the bar for “unfairness” is set too low – potentially widening complaint scope and increasing liability. During our recent webinar: Driving change – FCA redress and the future of motor
On Sunday 3rd August 2025, the FCA confirmed it would consult on a compensation scheme which seeks to provide redress to consumers who were treated unfairly when taking out motor finance.This announcement followed Friday’s landmark ruling by the Supreme Court on three cases where the Court of Appe
The motor finance industry is on the brink of a regulatory shift that could reshape how firms handle commissions, complaints and customer redress. At the heart of it all is the October 2024 Court of Appeal ruling that declared it unlawful for brokers to receive commissions from lenders withou
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
In an era of rising regulatory pressure, growing vulnerability in consumer markets and evolving expectations from the FCA, financial services firms are under more scrutiny than ever. Operational resilience, regulatory responsiveness and customer outcomes are no longer just priorities - they
In an increasingly complex regulatory environment, firms are under mounting pressure to evidence the delivery of ongoing advice services in a consistent, transparent and compliant way. At TCC, we understand these challenges because we've successfully helped navigate them, at scale and under s
