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Firms need to adapt to address the advice gap
How can advisers adapt to intergenerational differences in the market? TCC's James Marshall discusses...
Critical events are to be expected
TCC's Don Scott shares how firms can get their house in order to build their operational resilience.
Regulating transfers with effective triage
TCC's James Marshall discusses defined benefit transfers with FT Adviser...
Myth busting SMCR
TCC Technical Director, Don Scott sheds light on some of the common myths with the Senior Managers and Certification Regime (SMCR)
Investment platforms still have some room for improvement
Don Scott, Technical Director at TCC discussed the key takeaways from the FCA's final report on platform providers for FT Adviser.
Avoiding the unintended consequences of SMCR
Lorraine Mouat discusses how, with forward planning, firms can minimise the impact of the regime.
Do platforms have ex post MiFID II disclosures that are up to date?
Time is running out out for firms to provide cost transparency documents and advisers are seeing the difficulties that lie ahead in acquiring the relevant information...
Innovation is needed to tackle 'complacent' advice models
Ahead of the RDR review, it is a good time to take stock of the current state of the UK financial advice market. We discuss the topic for New Model Adviser...
MiFID II research pricing is still a grey area
Buy-side firms are continuing to struggle with some of the research issues raised in January 2018. TCC's Don Scott comments...
2018 in review: What were the major changes?
"Commercial advice is no longer a dirty word." TCC speaks with Money Marketing on some of the major regulatory changes in 2018...
Be prepared for a Mifid II crackdown in 2019
Advisers may face a crackdown on product governance rules in 2019...
FCA probe into investment advice
The FCA continues its probe into high-risk investment advice. We talk with Money Marketing on the issue...
Compliance tip: How to prepare for compulsory reassessments
To improve the knowledge of retail investment advisers, the FCA and CII have introduced an annual examination. Our Senior Regulatory Consultant James Marshall discusses how firms should respond.
Doubt cast over firms' data returns
Advisers are in the dark over what products fall under the FCA's NMPI rules. It could be described as a “rabbit hole”...