The FCA was concerned that a firm’s incentive scheme was increasing the risk of mis-selling and consumer detriment. They engaged assistance from TCC because there were particular concerns about the high levels of risk within the remuneration scheme and the lack of controls in place to mitigate the risks to consumers from the adviser’s incentives package.
Discover how we engineered and implemented a comprehensive
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solution that enabled our client to increase their ability to mitigate the risks of mis-selling.