Training, conference speaking, guides, consultancy
Helping firms focus on the client and meet FCA expectations
Practical, workable compliance
I have worked for 20 years in financial advice firms, 10 years at the regulator and have now set up my own training and consultancy firm.
In my time at the regulator I became increasingly influential in the way the FCA thought about, and supervised advisers.
Prior to joining the regulator, I worked in financial advisory firms mainly in compliance, training and technical support roles. I have Chartered Financial Planner status with 460 CII credits.Read more...
File reviewsHow are file reviews undertaken at your firm? In my experience there are three broad categories of file reviews: …
DB transfers – are some advisory firms walking into a minefield?I’m worried. Let’s be clear, there are many occasions when it is suitable to transfer a DB scheme. I have …
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All my work involves supporting professionalism in the financial advice and planning sector, including helping individuals and firms understand the FCA’s expectations.