How can firms keep their ongoing advice services compliant?
Learn the dual go-forward and backward-looking compliance strategies required to keep your ongoing advice services fully compliant under the FCA’s…
Solution: Suitability, Advice Quality & File Reviews
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How should firms be considering quality and suitability of advice?
Discover why advice firms must shift their focus from simple service delivery checklists to robustly monitoring and evidencing the suitability…
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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,…
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Key findings from FCA’s ongoing advice review
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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…
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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…
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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…
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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…
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Redress calculations
Discover how TCC Group’s alternative data calculation methodology helped a large IFA slash review costs by twenty percent and complete…
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Consumer Duty: What does the FCA expect from ongoing advice services?
What firms can expect after the FCA wrote to major advice firms about ongoing advice charges, with practical steps to…