Goals-based advice challenges the traditional industry notions of risk profiling and requires a nuanced approach to ensure you meet you regulatory obligations when advising clients. Ian McDermott of imac legal & compliance sets out eight tips to ensure you meet your regulatory obligations every time.
Changes to regulation, technology and competition are giving rise to a new player in the market: the financial services entrepreneur. Discover how this is changing financial services businesses, and what you can do to keep up with these changes.
Although the majority of SOAs are based upon templates, these should act only to provide the bones for you to flesh out the rationale for the customised and focused advice you’re proposing for a client.
FOFA is another step in the road to professionalism so rather than rally against it, leverage it to boost your practice.
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