Financial Adviser

Blog tagged as Financial Adviser

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)
Value is Personal for Consumer Duty
How to assess value as part of consumer Duty.
27.01.23 06:00 PM - Comment(s)
7 Simple Steps to a Fool-proof Consumer Duty Data Strategy
We cover the 7 steps to creating a fool-proof Consumer Duty data strategy
27.01.23 05:12 PM - Comment(s)
5 Essential Considerations for a Management Buy Out (MBO)

There’s never been a better time to sell a financial advice business! There are over 150 actively acquiring firms that I know; most of which are fuelled by Private Equity money from the US. In fact, we appear to be in a bit of a goldilocks zone at present!

  

However, not everyone wants to s...

28.10.22 04:41 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)