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…
Solution: Suitability, Advice Quality & File Reviews
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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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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…
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Retirement income in the regulator’s spotlight
David Boyhan of TCC explains why the FCA treats retirement income as a regulatory priority, and sets out what advisers…
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Five-Minute Insights: Embedding Compliance with RegTech
How can wealth and asset managers streamline compliance and improve client journeys through technology? FinTech expert Sabrina Del Prete shares…
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Why a holistic approach is the future for advisers and wealth managers
Discover why the Wealth and Asset Management 4.0 study points advisers toward a holistic, stage-of-life approach to advice, and what…
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Suitability and Equity Release: How well do you know your client?
Writing in Money Marketing, TCC’s Technical Director David Boyhan explains why firms must take a long-term approach to assessing suitability…