focus on compliance

How can an adviser be confident their advice is good before trouble starts? In other words, how do you audit yourself? There are 5 key things that the adviser must do – and be able…

Regulatory reform is everywhere (in the west at least) in financial services and the biggest distraction for advisers is what they need to do to adjust for it…again…and the focus is almost always entirely upon…

The difficulty of using social media but remaining compliant as a financial adviser seems to be a concerrn cited as a reason to not use social media by those advisers. Various aspects of “compliance” are…

The regulatory uncertainty level amongst advisers is just about at an all time high. It’s not just new rules that create the uncertainty; it is the shift to principles-based or outcome-focussed regulation that doesn’t have…

What constitutes “Best Practice” advice process is a constant work in progress, but it does not develop as rapidly as either technology or client expectations do. In fact, there is a distinct probability that the…

Professional financial advisers know way too much to be used in any given client meeting or engagement. Yet too many think that how much you know is what matters. One of the great skills of…

It seems to me that it is worth advisers asking themselves what their risk tolerance is as business owners given all the market and regulatory changes that have occurred in a reasonably short period of…

I support a compliance focus 100% ….but I support a client focus 100% too. All too often it is impossible to achieve 100% for both simultaneously though. Where does a professional compromise? Or does one…