Monthly Archives: November 2016

  • Observation Form

    We’ve redesigned the layout of the form that is normally used when a client meeting is being observed. This was with a view to making it more user friendly, particularly... Read more.

  • Industry Statistics

    You might be interested in the following statistics / information which we have extracted from the FCA’s recent review of GABRIEL returns: IFA Status: Independent = 83% Restricted = 14%... Read more.

  • Suitability Letters – FCA FS16/10 “Smarter Consumer Communications” October 2016

    Overall, there was very little insight or recommendations impacting current ALIFA recommended processes, with the majority of information contained confirming what we already know and provide. The FCA rules require... Read more.

  • Data Protection

    We’ve had a couple of enquiries regarding use of third parties for data storage, and thought it might be useful to share our thoughts on this. When outsourcing data storage to... Read more.

  • PI Insurance

    Following developments in the business environment, we’ve become aware that PI insurers may be looking more closely at a few aspects as outlined in the following sub headings. Insistent Clients;... Read more.