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…
Service: Managed services
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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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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…
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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
After an initial review of 50 files expanded to 3,000 customers, TCC Group developed a revised redress calculation methodology that…
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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…
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Assessing vulnerability: How can firms help mitigate risks of DIY SIPPs?
Learn what a Financial Ombudsman Service ruling on DIY SIPPs means for firms’ safeguarding duties towards vulnerable customers, and how…
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Regulatory due diligence: Examining firms’ priorities for 2024
David Boyhan of TCC explains why the FCA’s focus for regulatory due diligence is shifting as DB transfers become business…
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Four steps to building an effective Retirement Income proposition
With the FCA intensifying its focus on retirement income advice, firms must review their processes. TCC’s David Boyhan outlines four…