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There may be a trend for advisers opting to set up their own licence, but those contemplating the change have been warned it is not necessarily the right path for every adviser.
Six industry experts have shared their views on what a ‘fit-for-purpose’ statement of advice document could look like as the government commits to consultation on a new document.
Regtech provider for financial advisers Fourth Line has acquired the intellectual property of defunct startup TIQK.
The risk management and compliance system has announced internal leadership changes amidst its plans to fully automate the financial advice assurance process through AI.
Improved regulatory requirements have significantly lifted the standard of Statements of Advice however there are still areas of improvement according to a pair of compliance experts – particularly ways advisers should be highlighting the evidence behind the advice process.