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7 compliance secrets to outperform the competition

7 compliance secrets to outperform the competition

The latest report from Strategi Compliance explains why some Financial Advice Providers (FAPs) are struggling to meet compliance standards and missing opportunities, while others are thriving and enjoying their best year yet. Learn the seven secrets to staying ahead of the competition.

  1. Get creative and simplify your process: The law gives you some flexibility, so use it! Rethink your advice process and simplify those lengthy documents. With a bit of re-engineering and the right tech, you can make things easier for both you and your clients.

  2. Be a one-stop-shop for your clients: People are busy, and they don’t want to juggle multiple advisers for their financial needs. Offer a wider range of advice so your clients can come to you for everything, not just one type of service.

  3. Turn compliance into a business booster: Don’t let compliance weigh you down with endless paperwork and signatures. When done right, compliance should be part of your day-to-day business, not something that drags everyone down. Strategi Compliance can help take the pain out of this for you.

  4. Embrace tech and watch your profits grow: There’s so much amazing (and affordable!) tech out there—like CRMs, chatbots, AI-driven tools—that can make your life easier and help you deliver better advice. The sooner you get on board, the more you’ll benefit.

  5. Keep the relationship going beyond the first sale: It’s not just about that initial sale. You’ll have clients for years, maybe even decades. So, what’s your plan to keep that relationship strong? Regular check-ins, in-person or digital, will make sure your clients stick with you and send others your way.

  6. Never stop learning: Think about your accountant or lawyer—they’re constantly upskilling to stay on top of new regulations and industry changes. As a financial adviser, you should be doing the same. Whether it’s gaining new qualifications, attending workshops, or completing CPD, the more you expand your knowledge, the more confidence your clients will have in you. When you can answer their wide-ranging questions with ease, you’ll build deeper trust and stronger relationships.

  7. Focus on your client, not just the product: It gets dull talking about the same product year after year. What matters most is what’s going on in your client’s life. The deeper you connect with them, the better your advice—and business—will be.


We know some of this might sound familiar or even a bit “wishy-washy,” but these seven strategies, when done right, can truly transform your business. The difference is in the execution, and that’s where Strategi Compliance comes in. We’re here to help you apply these tactics effectively, so you can see real results and get ahead of the competition. Contact us today to find out how we can help you make compliance your competitive edge.

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