The Model Office Blog

Financial Advice Working Group and Model Office#RegTech

[fa icon="calendar'] Apr 12, 2017 10:34:31 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, mifid, HMT, suitability, FAWG, FAMR

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One thing is clear, there is real momentum underway within the retail investment advice  market towards more client-centric business models that will make both products and services easy to access, affordable and compliant.

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Model Office#RegTech and advice suitability

[fa icon="calendar'] Mar 21, 2017 9:39:20 AM / 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, mifid, HMT, suitability

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 Model Office’s (MO’s) aim is to ensure compliance is no longer considered as a department or business function but rather a corporate state of mind.

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#RegTech and the definition of advice

[fa icon="calendar'] Feb 28, 2017 11:32:53 AM / 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, mifid, HMT

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We have a new duck in town, HMT have now placed their stake in the MiFID advice definition camp and thus we now have a clear and transparent definition when advice is advice and not as the case maybe.

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