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The top three misconceptions about 15 March

A quick trawl through the questions and comments we’ve received since the beginning of the year has revealed some concerning trends. All show a lack of detailed understanding of the new advice regime taking effect from 15 March. This is particularly alarming considering the huge amount of work undertaken by the Financial Markets Authority, the Financial Services Council, networks, large advisory businesses and product providers to ensure that businesses and advisers are ready for the go-live date of 15 March 2021.

The hows and whys of obligations registers

One of the fundamental pillars to being compliant as a financial adviser or financial advice provider is knowing your regulatory obligations and building your policies, processes, and controls from a single source of truth. This is where the obligations register becomes a vital document in every business. What is an obligations register? At a high […]

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