Model Office #RegTech - Your business Fitbit
[fa icon="calendar'] Apr 27, 2017 10:07:03 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, FAWG, FAMR, Fitbit
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
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.
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
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.
#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
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.
Benchmarking regulatory papers and good outcomes
[fa icon="calendar'] Feb 16, 2017 1:03:09 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, Human resource development, client engagement, regtech, Risk management, Soft compliance, practice management, FCA, Roboadvice, Finovate, FCA papers
Benchmarking professional development within the retail financial service industry means calibrating the FCA directives within Model Office’s (MOs) algorithm. In our blog FCA project Innovate, regulatory resources and RegTech development we detailed some of the FCA papers that MO’s algorithm assesses and incorporates into the regulatory and business development benchmarking.
Finovate Europe 2017, Innovation, Creativity and RegTech
[fa icon="calendar'] Feb 9, 2017 11:58:37 AM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, Human resource development, client engagement, regtech, Risk management, Soft compliance, practice management, FCA, Roboadvice, Finovate
RegTech, RoboTech and suitability
[fa icon="calendar'] Feb 7, 2017 12:57:36 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, Human resource development, client engagement, regtech, Risk management, Soft compliance, practice management, FCA, Roboadvice
The problem with regulatory compliance and business development is it’s a bit like hurdling in the dark: you just don’t know if your strategy will protect against the constant stream of regulatory directives, compliance costs and market risks.
FCA project Innovate, regulatory resources and RegTech development
[fa icon="calendar'] Jan 31, 2017 3:54:02 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, Human resource development, client engagement, regtech, Risk management, Soft compliance, practice management, FCA
With all this creativity in play, when we were asked into the FCA to ‘kick the tires’ around the sandbox, we thought that the regulator should walk its talk and create a digital diagnostic platform that allows firms to see if they are hitting the regulatory bases and also assess how they are competing in a highly competitive market. ‘Good idea’ said the FCA, ‘But’ (there’s always a but) ‘we can’t be seen to be prescriptive’.
#RegTech and building a digital client engagement frame work
[fa icon="calendar'] Jan 10, 2017 2:50:33 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
Model Office - MO product update #8 Algorithm v Intuition
[fa icon="calendar'] Dec 7, 2016 4:02:16 PM / by Chris Davies posted in Benchmark, compliance, client centric, Financial regulation, Financial business development, fintech, Human resource development, client engagement, regtech, Risk management, practice management, FCA, algorithm, intuition
With the rise of Artificial Intelligence (AI) as a marketing and sales engine for various industries and it’s potential to replace human labour, we are now entering an uncertain time for business and its people development.