“What experience do you have, does it match the type of business your firm undertakes?” It’s crucial the expertise of your chosen compliance consultant matches the type of business your firm undertakes. For example, if you are active in the pension transfer market, have they passed AF3 and kept their own CPD up to date? […]
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The journey to direct authorisation is beset by myths and misconceptions. Helping financial advisers and mortgage brokers obtain their FCA authorisation, is one of our key areas of expertise. Who better then to dispel some of these myths, whilst answering the most commonly asked questions? #1: “What permissions do I need to apply for?” That […]