Category
Compliance & Consumer Duty
Practical thinking on FCA rules, Consumer Duty and evidencing good client outcomes.
Category
13 articles
All articles
The FCA ongoing advice review: findings and what to check now
What the FCA's review of ongoing advice services found, the figures behind it, the rules that apply to ongoing charges and reviews, and a practical checklist for testing your own service.
Consumer Duty evidence: what good outcomes look like in advice
What Consumer Duty evidence an advice firm should hold, what PRIN 2A.9 asks you to monitor, what the FCA says good outcomes monitoring looks like, and how to turn file reviews into proof.
Why many firms check a sample of files, and how to check every one
A thorough file review takes half a day, so many firms check a sample and hope the rest are sound. Here is where that time goes, and how Scrutineer makes checking every file the normal way of working.See it before you decide.
Six apps that take file checks, annual reviews, client documents and meeting coaching off the desk, from £49 per adviser per month. See them run live on a demo firm in a twenty-minute call, with nothing to prepare.