Most advisers are not doing enough in human resource compliance and are at risk of breaching Senior Managers and Certification Regime (SM&CR) regulations, Model Office founder Chris Davies has warned.
The RegTech platform today launched its bi-annual industry benchmark market report, which found compliance still the number one concern for the majority (80%) of advice firms. Davies, who has worked...
For smaller and medium firms
Expanding the 'regulatory perimeter'
EU review to be completed this year
Part of raft of proposals to increase visability of SRI to retail investors
Will grow network by offering a bespoke service
Basic rate taxpayers better off
Despite relevant information supplied
Co-produced with PFS