The Model Office Blog

Good King Conduct Christmas Carol

[fa icon="calendar"] Dec 21, 2018 9:43:44 AM / by Chris Davies

The Good King FCA last looked out

On the feast of pension transfers, 

They decided not to mess about

Ban cold calling and stop good advice saboteurs


IFA Darren Cooke should be credited

With pushing for this pension cold call banning

The industry should now be uninhibited

To whistle blow any scamming


AI Rush organised another Great Pension Debate

And worked with the Welsh steelworkers

Saving many of them from a reckless and penniless fate

He put faith back into advice for many industry observers


The Langcat pounced with usual gusto and fury,

They reported on the state of the advised platform nation

And sold their report on re-platforming and IPO’s

That’s got us all awaiting their new year flotation


Rory Percival led reviews

On DB pensions and cash flow modeling

His guides demanded a granular view

For a professional approach that is quite eye boggling


Industry top geezer Andy Hart

Pioneered Humans Under Management

Hat Tip Nick spoke with gusto and took apart

The attitude to risk-capacity for loss argument


Industry sage Phil Young wrote with glee

About consultancy and a road less travelled

It’s a tough road to take believe you me

Building new tech can leave you battled


Para-planners have come of age

Offering advisers practical support

The NextGen planners have rattled the industry cage

Both ensure professionalism doesn’t fall short


RegTech platforms gather pace

Saving firms time and money

They will help streamline the regulatory workplace

And make Compliance jobs rather yummy


Robo-adviser’s can’t seem to gain much ground

As an alternative to advisers

This means they can collaborate

With advice firms and work as financial organisers


The Senior Managers and Certification Regime

Hangs like a nightmare before Christmas,

This new FCA accountability regime

Will ensure good conduct and professionalism in our business




So bring me beer and bring me wine

We need to seek some sanctuary

2018’s business and politics has been a crazy time

We need to drink, laugh and be merry


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Topics: Financial regulation, Financial business development, fintech, regtech, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, MiFIDII, Data, GDPR, Chatbot, Culture, Enforcement, supervision, audit, Conduct, AI, Risk,, Accountability, Platforms, PROD, Product governance, Modeldrivenmachineexecutablerporting, digital,, Regulatory, Reporting, BREXIT

Chris Davies

Written by Chris Davies

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