Retail investment Archives

Five key questions to consider when changing your advice model

Recently there has been an uptick in investment advice firms looking to make some material

22/08/24 Read more

Case study: Calculator build and assurance

Redress project streamlined with bespoke calculators

07/08/24 Read more

Case study: Responsive resourcing

Responsive resourcing keeps compliance audit on track

29/07/24 Read more

Case study: Specialist resourcing

Large scale resourcing gets remediation project moving

29/07/24 Read more

Case study: RegTech remediation project

Harnessing the power of RegTech, we saved our client £1.2m in project costs.

24/07/24 Read more

Case study: RegTech enabled Past Business Review

RegTech enabled PBR saves £3m

24/07/24 Read more

Case Study: Outsourced business assurance accelerated by RegTech

Discover how our high-performance business assurance helped a client deal with a fluctuating workload faster and with superior quality.

24/07/24 Read more

Case study: Project rescued by RegTech

Find out how we rescued and turned around a struggling arrears remediation project and cut the review times by a quarter.

24/07/24 Read more

Case study: AML Customer Due Diligence Review

Risk diminished with strengthened customer due diligence

18/07/24 Read more

Case study: AML Review & Remediation

AML defences reinforced with review

18/07/24 Read more

Case study: Redress calculations

Redress expertise slashes review costs by 20%

18/07/24 Read more

Case study: Defined benefit transfers

A tailor-made method method to stand the test of time

24/06/24 Read more

Case study: Past business review

Quickly scaling up to deliver large scale past business review

24/06/24 Read more

Consumer Duty and fair value: where are you now?

After years of consultation and planning, the

20/09/23 Read more

Almost 400 later life mortgage promotions identified as misleading

The FCA has published the findings from its

19/09/23 Read more

The impact of the cost-of-living crisis on debt consolidation

With falling energy prices, economists are forecasting that the UK’s inflation rate will

12/09/23 Read more

Firms urged to be proactive in identifying vulnerable characteristics in pension transfer customers

The FCA has reiterated the importance of firms being alert to indicators of potential vulnerability

06/09/23 Read more

A peak of interest-only mortgages is set to mature in less than a decade

Mortgage firms should act now to support ‘challenged’ borrowers who may struggle to repay

17/08/23 Read more

News

FCA publishes Guidance Consultation on Financial Promotions on social media

In the FCA’s Business Plan for 2023/24, it prioritised reducing and preventing consumer harm,

02/08/23 Read more

AI RegTech helps mortgage firms monitor and evidence outcomes

Fixed-rate mortgages continue to dominate the headlines, as

19/07/23 Read more

The need for mortgage providers to deliver good outcomes for customers facing financial difficulty

An unfortunate but sadly unavoidable side effect of the current cost-of-living crisis is

19/06/23 Read more

Why mortgage providers should be reviewing their compliance and focusing on resolving issues now 

The number of borrowers struggling to keep up with bill and credit payments has

09/06/23 Read more

FCA Business Plan: Consumer care tops regulatory agenda for 2023/24

The FCA has today launched its Business

05/04/23 Read more

FCA’s Appointed Representative regime and the regulatory focus on Principal firms

As the new FCA’s S165 data collection for Principal firms comes into action this Thursday

07/12/22 Read more

Intelligent compliance for outcomes that matter

What firms should take from the FCA's latest portfolio strategy letter

Hopcraft: Is DCA PPI2?

FCA fines highlight the need for better customer support

How do large firms with an abundance of resources fall foul of FCA regulations?

Ongoing advice services and retirement income advice are key priorities in the latest FCA update

Insurers unable to demonstrate robust fair value assessments and adherence to product governance

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Five key questions to consider when changing your advice model

Case study: Calculator build and assurance

Case study: Responsive resourcing

Case study: Specialist resourcing

Case study: RegTech remediation project

Case study: RegTech enabled Past Business Review

Case Study: Outsourced business assurance accelerated by RegTech

Case study: Project rescued by RegTech

Case study: AML Customer Due Diligence Review

Case study: AML Review & Remediation

Case study: Redress calculations

Case study: Defined benefit transfers

Case study: Past business review

Consumer Duty and fair value: where are you now?

Almost 400 later life mortgage promotions identified as misleading

The impact of the cost-of-living crisis on debt consolidation

Firms urged to be proactive in identifying vulnerable characteristics in pension transfer customers

A peak of interest-only mortgages is set to mature in less than a decade

FCA publishes Guidance Consultation on Financial Promotions on social media

AI RegTech helps mortgage firms monitor and evidence outcomes

The need for mortgage providers to deliver good outcomes for customers facing financial difficulty

Why mortgage providers should be reviewing their compliance and focusing on resolving issues now

FCA Business Plan: Consumer care tops regulatory agenda for 2023/24

FCA’s Appointed Representative regime and the regulatory focus on Principal firms