Compliance

What the supervision shift means for your firm

Compliance which adds little to the client experience except an extra layer of cost is on the regulator's radar as an area of concern it is investigating, Financial Conduct Authority (FCA) technical specialist Rory Percival has said.

Ten questions to help you prepare for your regulatory review

How to stay on the right side of the regulator

Susan Jordan, director at consultancy The Phil Billingham Partnership, on why the world of compliance checking needs an overhaul...

A compliance service designed for financial planning firms has been launched.

The Scouts were right when they said: "Be prepared." The motto works well for auto-enrolment too.

There exists a "nervousness" in the professional indemnity insurance (PII) market which could force more IFAs to offer restricted advice, according to Prudential distribution change director Russell Warwick.

PRESSURE

The Financial Conduct Authority (FCA) is gearing up to interview London-based advisers about their risk assessment processes as it works its way across the country.