The regulator has handed out some of the largest fines in this crucial area of regulation.
In the light of customers’ high reliance on advice for investment and pensions, and the
FSA’s extensive reviews in these financial services, firms must clearly focus on maintaining and demonstrating consistent and meaningful:
- Suitability of advice
- Risk profiling.
We have broad and varied experience in supporting firms with their sales processes, risk and suitability assessments. We can work with you to build the FSA’s high standards into your business model, to achieve excellence in your customer service, grow business and reputation and maintain a good relationship with the regulator.
