3rd February 2017

Paraplanners

Written by Rory Percival
Posted in Advice market, General, Regulation, Suitability reports

I like paraplanners. Personally, I have generally found them to be enthusiastic, dedicated and – in a sector that … Read More

9th December 2016

File reviews

Written by Rory Percival
Posted in Advice market, Disclosure, Fact-finding / risk profiling, Regulation, Research and due diligence, Suitability reports

How are file reviews undertaken at your firm? In my experience there are three broad categories of file reviews: … Read More