TEN KEY STEPS TO T & C COMPLIANCE

ln the intricate world of financial advising , regulatory compliance stands as a cornerstone of trust and integrity . Clients place their financial wellbeing in the hands of advisers , expecting meticulous adherence to rules and a clear focus on delivering good outcomes and suitable advice . As you ’ ll know all too well , the work required to meet these rules is costly , time-consuming and seemingly constantly growing . Keeping up to speed with the intricacies of these ever-changing requirements and avoiding inadvertent breaches and compliance gaps can feel like a full-time job in itself . Taking a proactive approach to training and competence ( T & C ) is a key consideration in ensuring that financial advisers uphold regulatory standards , maintain professional competence and deliver good consumer outcomes in line with the Consumer Duty .