Regulation - Following the paper trail

Although I'm happy that the advice we give to customers is appropriate, I'm not confident that it would be obvious to anyone looking at a file. What would you suggest?

This is a timely question, with the first of this year's Financial Services Authority Treating Customers Fairly deadlines upon us at the end of March. Matching a product to the client, and the quality of advice given is the subject of two of the six TCF consumer outcomes, and one which the FSA has said will be the subject of further thematic work.

The regulatory requirements come from a background of independent financial adviser business, which incorporate a holistic customer fact-find

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Lords Committee ‘unconvinced’ on FCA name and shame proposal

The House of Lords Financial Services Regulation Committee is unconvinced on the FCA’s name and shame plans as it branded the consultation an “abject failure” and urged if concerns have not been addressed in the regulator’s second consultation the proposals should not go ahead.

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