What should firms do about disengaged clients?
Learn how advice firms should manage disengaged clients under the FCA’s ongoing advice review, and understand the data, disengagement policies,…
Solution: Compliance AI & RegTech
-
-
Key findings from FCA’s ongoing advice review
-
Q&A: The important insights from the FCA’s ongoing advice review findings
TCC’s Q&A video unpacks the FCA’s ongoing advice review findings, explaining what firms must do about clients who did not…
-
Understanding & implementing the FCA’s ongoing advice findings
The FCA has published findings on ongoing advice services, identifying clients who did not receive paid-for reviews. This article sets…
-
Benefit your business by enhancing customer data
Practical steps for enhancing client data to meet FCA reporting requirements on ongoing advice reviews and retirement income, while identifying…
-
A Consumer Duty recap: frequent obstacles to achieving good customer outcomes
A recap of the frequent obstacles firms face across the Consumer Duty’s four outcomes, with the key questions boards should…
-
Seven key topics to ensure the success of your ongoing advisory reviews
TCC and Recordsure outline seven regulatory standards firms should address to deliver compliant ongoing advice reviews, from a positive customer…
-
The benefits of enhancing data capture go beyond compliance – Money Marketing
Find out why enhanced data capture helps advice firms meet FCA expectations and keep client reviews on schedule, according to…
-
Failing Consumer Duty with renewal barriers
-
What firms should take from the FCA’s latest portfolio strategy letter
TCC’s Technical Director David Boyhan examines the FCA’s October 2024 portfolio strategy letter for financial advisers and investment intermediaries, highlighting…