Selling a financial advice business may be considered the end of a journey, writes Henry Blunt, but one factor that can have a significant impact on post-sale plans is any liability relating to complaints arising from past advice.
Where that liability actually falls can be affected by the structure of a sale yet some common myths have sprung up around what the rules are and how they can impact financial advice firms. Examples include:...
Partner Insight: Dennis Hall, director and CEO of Yellowtail Financial Planning, Julia Dreblow, founder of SRI Financial Services and Frank Potaczek, head of UK proposition at Architas met in London to discuss how they broach the topic of sustainability...
Two-thirds cannot evidence compliance
'Elaborate breach of trust'
'How to buy protection insurance'
As this year has proved