Compliance Spotlight

In association with Thistle Initiatives, independent compliance consultants

Retirement planning is undoubtedly more complex than it used to be and achieving truly personalised advice is becoming more challenging. Feedback from advisers and the success of the compliance forums we held in 2017 have encouraged us to establish Compliance Spotlight.

Rethinking retirement together

Compliance Spotlight is a home where compliance professionals and advisers can comfortably explore regulatory themes and emerging risks for their clients and firms. We won’t pretend to have all the answers, but we’re confident that we can help create modern retirement financial planning frameworks.


Look out for the following series of articles, webinars and forums on key regulatory change, brought to you in association with Thistle Initiatives, independent compliance consultants expert insight:

Videos

Our videos are designed to give you greater insight into various retirement and regulatory themes.

View our latest videos below.

Spring news
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Compliance Spotlight - Spring news

Participants: Martin Lines, Business Development Director at Just and James Dingwall, CEO at Thistle Initiatives

Duration:  7:45

Conduct risk
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Conduct risk - key areas of FCA focus and individual responsibility

Participants: Martin Lines, Business Development Director at Just and James Dingwall, CEO at Thistle Initiatives

Duration:  12:42

 

Consumer vulnerability
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Consumer vulnerability - developing a framework that works for your clients and firm

Pariticpants: Martin Lines, Business Development Director at Just, James Dingwall, CEO at Thistle Initiatives and Antony Gore, Head of Marketing Services and Financial Intermediary Marketing

Duration: 12:46