Retail investment Archives

How can platforms keep up with product governance rules?

New regulations are causing confusion over which parts of the advice chain are responsible for checking products are appropriate for particular clients.

14/06/18 Go to article

News

Treating vulnerable customers fairly

Firms are still struggling to ensure that their vulnerable customers are correctly identified and supported throughout the customer journey.

07/06/18 Go to article

The shift towards greater customer accountability

TCC Regulatory Consultant Olivia Brady examines the FCA's approach to customer protection, and how their accountability is on the increase.

17/04/18 Read more

News

Culture is the cornerstone of SMCR compliance

Taking steps to measure, monitor and improve internal culture is the foundation of SMCR compliance.

12/04/18 Go to article

News

Investment platforms under fire over Mifid II data requirements

Some investment platforms are failing to help asset managers and advisers meet their Mifid II obligations...

12/04/18 Go to article

How-to guides

Your guide to the FCA Business Plan 2018/19

11/04/18 Download

Case study: Getting GDPR ready

GDPR expertise leads to regulatory change success

01/04/18 Read more

News

How the robo-advice revolution could transform advice firms

We explore how robo-advice can benefit firms and assesses whether it'll be a threat to advisers in the future.

23/03/18 Go to article

News

New data rules could destroy advisers' lists

Advisers may need to cull potential clients from lists if they do not have explicit consent to hold their data.

28/02/18 Go to article

News

Data deadlines: a timeline to prepare for GDPR

In the run-up to the introduction of the GDPR, here is a checklist of steps firms should be taking to stay ahead of the game

19/02/18 Go to article

Case study: Global compliance operating model

A new global compliance operating model for a sustainable future

14/02/18 Read more

Webinar: GDPR implementation framework

In this webinar, we provide a 5 step framework to help you transition quickly and effectively to a GDPR compliant state.

09/02/18 Read more

What’s on the culture and conduct horizon for 2018

With levels of regulatory scrutiny showing no signs of abating, we look at where firms can expect the regulator to focus on in 2018.

15/01/18 Read more

Four steps for getting ahead on SMCR

Check out our steps to help you ensure a smooth transition to the new Senior Managers & Certification Regime.

08/01/18 Read more

How is the SMCR Shaping Up?

The FCA's latest consultation provides the clearest indication of how the SMCR is shaping up. TCC's James Marshall highlights the key points.

29/12/17 Read more

News

Compliance Tips for Dealing with Vulnerable Customers

With the FCA making the protection of the vulnerable a high priority, we provide essential tips for effectively handling those customers.

04/12/17 Go to article

Case study: Improving compliance monitoring with conduct risk reviews

Our client saw increased customer satisfaction as a result of an improved customer journey.

02/12/17 Read more

News

The truth exists: 10 common GDPR misconceptions

We've seen confusion from many firms trying, without success, to interpret the GDPR. Lorraine Mouat mythbusts the most common misconceptions to help firms gain clarity from the complexity of GDPR requirements.

01/12/17 Go to article

How-to guides

The FCA's future approach to consumers: A summary

13/11/17 Download

The FCA's future approach to consumers: Key take-aways

TCC regulatory experts provide the key take-aways from the FCA's future approach to consumers publication. All you need to know!

13/11/17 Read more

News

The FCA's Update on Portable Fact Finds

TCC's David Boyhan provides his views on the topic of portable fact finds following the FCA's published guidance last week on its decision for clients to bring their fact finds from previous advisers.

04/10/17 Go to article

News

MiFID II Recording Requirements - The Main Challenges

We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.

27/09/17 Go to article

News

Regulation Overload: Are Advisers Ready For the MIFID II Mountain

We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.

22/09/17 Go to article

Transitioning to SMCR

Following the publication of the FCA's latest Consultation Paper on the SMCR, we explore the regulator's proposals on how it will apply the rules across the industry...

31/07/17 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

File Reviewer
New opportunity: permanent role, competitive salary

Permanent

Change & Transformation Recruitment Consultant
£40,000 - £50,000 per annum dependent on experience

DSAR Case Handler
£175 per day, inside IR35

Contract

Complaints handler
£325 per day (via an umbrella), £325 per day during training

Insights — Page: 6

Filter by —

How can platforms keep up with product governance rules?

Treating vulnerable customers fairly

The shift towards greater customer accountability

Culture is the cornerstone of SMCR compliance

Investment platforms under fire over Mifid II data requirements

Your guide to the FCA Business Plan 2018/19

Case study: Getting GDPR ready

How the robo-advice revolution could transform advice firms

New data rules could destroy advisers' lists

Data deadlines: a timeline to prepare for GDPR

Case study: Global compliance operating model

Webinar: GDPR implementation framework

What’s on the culture and conduct horizon for 2018

Four steps for getting ahead on SMCR

How is the SMCR Shaping Up?

Compliance Tips for Dealing with Vulnerable Customers

Case study: Improving compliance monitoring with conduct risk reviews

The truth exists: 10 common GDPR misconceptions

The FCA's future approach to consumers: A summary

The FCA's future approach to consumers: Key take-aways

The FCA's Update on Portable Fact Finds

MiFID II Recording Requirements - The Main Challenges

Regulation Overload: Are Advisers Ready For the MIFID II Mountain

Transitioning to SMCR