Ian Stott, client services director at The Consulting Consortium, explains how the FCA assesses an adviser firm's risk.
The term ‘risk profiling' means different things to different people. For advisers, it is generally associated with the process of identifying a client's attitude to risk when considering investment recommendations....
Advisers are facing a number of new regulations to contend with. From the new PROD rules to MiFID II, there is a sea change in the regulatory landscape that advisers are operating in.
Advisers should reconsider process
In preparation for December deadline
CISI Financial Planning conference