Agent as Client vs Reliance on Others: How Your DFM Relationship Is Really Structured
Agent as client vs reliance on others: how the two DFM structures allocate responsibility, FOS access and Consumer Duty obligations for UK advisers.
Regulation & Compliance
Navigating FCA requirements, Consumer Duty, and the regulatory landscape that shapes wealth management in the UK.
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How Discretionary Investment Management Is Regulated in the UK: An Adviser's Guide
How discretionary investment management is regulated in the UK: FCA permissions, COBS suitability, client agreements, reporting and best execution for advisers.
Ongoing DFM Oversight: A Consumer Duty Framework for Wealth Advisers
How UK wealth advisers should run ongoing oversight of their DFM under Consumer Duty: monitoring framework, board reporting, and red flags to act on.
FCA SDR and Investment Labels: What UK Wealth Advisers Need to Know
FCA SDR for wealth advisers explained: anti-greenwashing rule, the four investment labels, naming and marketing limits, and what HNW practices must do now.
Adviser Succession Planning: FCA Expectations and Practical Steps for UK Wealth Advisers
How UK wealth advisers should approach succession under FCA expectations: SYSC, Consumer Duty, SMCR, and the practical handover steps the regulator looks for.
The Advice Guidance Boundary Review: What Wealth Advisers Should Prepare For
The FCA's advice guidance boundary review will reshape how UK wealth advisers serve clients. Here is what the proposals mean and how to prepare.
Consumer Duty One Year On: What Wealth Advisers Must Do Now
The FCA's Consumer Duty has been in force for over a year. Here is what wealth advisers need to focus on to stay compliant and competitive.