Ten key steps to training and competence compliance

Taking a proactive approach to training and competence

clock • 4 min read

Jill Hamilton sets out ten key steps to help advice firms maintain adviser competence and deliver good outcomes for their clients...

In the intricate world of financial advising, regulatory compliance stands as a cornerstone of trust and integrity. Clients place their financial wellbeing in the hands of advisers, expecting meticulous adherence to rules and a clear focus on delivering good outcomes and suitable advice.  As readers will know all too well, the work required to meet these rules is costly, time-consuming and seemingly constantly growing. Keeping up to speed with the intricacies of these ever-changing requirements and avoiding inadvertent breaches and compliance gaps can feel like a full-time job. Taking...

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