compliance focus

The incessant debate about whether financial advice can be called a profession or whether it is an “industry” keeps rolling along and mostly the debate is within the industry. Those who are not financial advisers…

When it comes to compliant advice Advisers really need to grasp that they are playing a game of “Rock, Paper, Scissors” with every client engagement now. There almost certainly will be an instance where a…

For all the distractions, downtime and inefficiency that comes with new (or more) financial services regulation it is very easy to see it as an imposition. Many advisers conclude that regulation is simply bureaucracy which…