Appointed Representatives

Blog tagged as Appointed Representatives

How to save 100s of supervision hours using AI

The increased demands of Consumer Duty mean having an effective supervision function isn’t a choice; it’s a necessity. Whilst most financial advice firms have made progress in moving towards risk-based supervision approaches, most supervision is still done the old-fashioned way – a person reviewing ...

19.08.23 12:59 PM - Comment(s)
Top 5 tips to prepare for Consumer Duty 

With the deadlines around the FCA’s A New Consumer Duty getting closer, I wanted to cover the top 5 things you can do today to prepare.

Everyone knows that Consumer Duty is coming, however attitudes towards it have been mixed. Some have been preparing ever since it was announced, some have yet to get...

11.10.22 01:16 PM - Comment(s)
What do you actually have to sell? 
In this blog post, we delve into the question of what a financial advice firm actually has to sell - the answer might not be as straight forward as you think!
13.01.22 08:27 PM - Comment(s)