Expert insight to help you stay up-to-date with changing regulation
Paul Richards, Head of Adviser Distribution, Fidelity International and Chris Davies, Founder and Chief Executive of Model Office discuss the key governance, risk, and compliance challenges advice firms face today and the steps they can take to ease this ever-increasing burden.
19 minute watchThe Model Office latest annual benchmark report, in association with Fidelity Adviser Solutions, builds on 6 years of reporting on its RegTech data across hundreds of retail intermediary advice firms (RIAs). The report provides a good benchmark and comprehensive review across the key governance, risk, and compliance challenges firms are facing.
Download nowThe key areas identified by the FCA for improvement in the advice process.
Download Fidelity Adviser Solutions’ summary
Download Thistle Initiatives’ overviewIn this 45-minute webinar, our panel of experts consider the FCA’s Thematic review of the Retirement Income Advice market and what the implications are for advice firms.
Here you can access dedicated support materials and resources as you work towards implementing the Duty within your firm.
A four-page summary of the FCA’s Policy Statement PS 20/6.
A summary of the FCA's rules related to PROD 3: MIFID and PROD 4: Insurance Distribution Directive.
A high-level summary of the FCA’s Finalised Guidance FG21/1.
A summary of the FCA’s guide for solo-regulated advice firms.
Overview
