Rebecca Jones looks at how to keep a client file compliant, uncovering some common pitfalls and easy fixes.
Compliance, while much maligned, is a necessary evil for financial advisers. This is particularly true when it comes to client files, as advisers are increasingly called upon to prove that they have followed...
Re-platforming went well
Keep your paraplanners close
In relation to 151 bonds
Dominic Sanzari, 26, was an unhappy accountant but now he's an ecstatic associate financial planner. Here he explains how the Succession Wealth graduate programme enabled his dream to become reality
Concerns surrounding risk management
Clients are like family
'Regulatory failures' during FCA tenure
Legal battle ongoing