Sector Focus: Wealth Management
The FCA have increasingly sought to protect the client, this has led to increased focus on appropriateness and suitability while also diving into specific product types through thematic reviews. Our dedicated Wealth Management Practice is led by Jayson Upton. Find out more about Jayson CLICK HERE
Structured Products and Capital at Risk remain areas of regulatory focus and with the FCA seeking to protect the "customer journey", advisory firms need to ensure their client assessment and associated advice processes are robust, monitoring client circumstances and quality of advice provided. For investment and discretionary management, the mandate is key and needs to be acted within. Portfolio construction and re-balancing needs to be mapped to recommendations and or mandates.
The breadth of knowledge and experience within the team spans the industry, the FCA and major engagements for leading institutions and providers. The clients we work with provide advisory, discretionary management, portfolio management, portfolio construction and investment services.
Our approach is that compliance should be an enabler rather than a blocker to business, we always seek to assist clients to find a compliant way to achieve their aims.
Conduct of business reviews
Enhancement of internal processes and practices
On-going compliance management
Enquire About Our Compliance Consultancy Services
If you'd like to discuss your specific situation and how we may be able to help, please provide your contact details using the form below and a member of our team will get in touch. Or alternatively call us on 020 7060 4499.