The Model Office Blog

Chris Davies


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The FCA, Digital compliance and benchmarking your performance

[fa icon="calendar'] Mar 28, 2018 5:25:01 PM / by Chris Davies posted in Financial regulation, Financial business development, fintech, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR, Chatbot, Culture, Enforcement, supervision, ThomsonReuters,

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This week we spoke at the Thomson Reuters Risk and Compliance Summit about the introduction of Artificial Intelligence to Compliance and Risk management. 

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The FCA Approach to Supervision and Enforcement

[fa icon="calendar'] Mar 23, 2018 11:54:23 AM / by Chris Davies posted in Financial regulation, Financial business development, fintech, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR, Chatbot, Culture, Enforcement, supervision

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When the FCA launched its Mission, it committed to publishing a series of documents that would explain its approach to regulation in more depth. These articulate how the FCA carries out its main activities, aiming to provide transparency to its thought process and decision-making. 

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The FCA Cultural Change focus and RegTech

[fa icon="calendar'] Mar 16, 2018 3:18:25 PM / by Chris Davies posted in Financial regulation, Financial business development, fintech, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR, Chatbot, Culture

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Diversity is the Key to improving Retail Financial Services Culture

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The GDPR Overview, Disclaimers and Privacy Notices

[fa icon="calendar'] Feb 26, 2018 3:18:54 PM / by Chris Davies posted in Financial regulation, Financial business development, fintech, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR, Chatbot

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Introduction: We publish our GDPR Unwrapped guide shortly, one key area covered is the GDPR adds new layers of data protection onto the existing Data Protection Act (DPA). One of the key areas that need focus are the client documents your firm has in place with your clients. These could be:

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MO® and your new regulatory dashboard

[fa icon="calendar'] Jan 30, 2018 12:46:12 PM / by Chris Davies posted in Financial regulation, Financial business development, fintech, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR, Chatbot

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With much hype and a small amount of derision, we now await the financial services Pensions Dashboard project, due to deliver its pension aggregated information and transparency services to pension investors by 2019. Its role is to allow investors:

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MO® the Chatbot launch

[fa icon="calendar'] Jan 19, 2018 1:18:32 PM / by Chris Davies posted in Financial regulation, Financial business development, fintech, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR, Chatbot

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With The FCA now focusing on the implementation of MiFIDII and with the SMCR and GDPR also on the way, we are now seeing far more focus on disclosure, transparency, accountability, roles and responsibilities.

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The SMCR and Emotional Intelligence–Model Office-MO Key 5: Your People

[fa icon="calendar'] Nov 24, 2017 4:07:37 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, suitability, FAMR, MiFIDII, SMCR, Data, Systems and controls

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MO’s 5 keys act as your compliance and professional development foundations so you can map and self-audit your journey as a professional practice, to ensure you not only meet the regulatory rules: TCF, KYC, Suitability, MiFIDII, GDPR, SMCR but also benchmark against the FCA papers and good outcomes they covet and also track performance against your peers.

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Operations and Data–Model Office-MO Key 4: Your Systems

[fa icon="calendar'] Nov 10, 2017 1:07:13 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, suitability, FAWG, FAMR, MiFIDII, Data, Systems and controls, Back Office

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We now move to our 4th blog in our series on our #RegTech platform Model Office – MO and the 5 keys our research has found are crucial in building a compliant, client-centric and sustainable professional practice. Click here sign up for our weekly blogs.

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Meeting your commitments–Model Office-MO Key 3: Your Promise

[fa icon="calendar'] Nov 3, 2017 11:50:14 AM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, MiFIDII, Data, CIP, Service Proposition

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This is our 3rd blog across Model Office’s (MO’s) 5 keys and we now focus on your service proposition that MO classes as ‘Your Promise’ that you are making to meet your on-going clients needs.

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Taking Action–Model Office-MO Key 2: Your Engagement

[fa icon="calendar'] Oct 27, 2017 12:53:29 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, Human resource development, client engagement, regtech, Constructive compliance, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, Fitbit, MiFIDII, Data, GDPR

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In this suite of blogs we’re covering our digital compliance and business development platform Model Office (MO)’s 5 keys that form the foundations for MO’s #RegTech platform and ensures any retail investment adviser (RIA)/planner firm remain compliant, client-centric and sustainable in their professional development journey.

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