Consumer Duty: Communication Goals
Mark Polson gets specific, practical and to the point (as always) as he hones in on the communication element of the incoming Consumer Duty regulation.
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Right sizing Consumer Duty by Mark Polson, the lang cat
In a Consumer Duty survey of advisers who attended December’s monthly adviser webinar, we heard a magnitude of answers; from very concerned to not worried at all. For those who are concerned, Mark addresses how to right size your approach for your practice. He also shares some tips for getting started and keeping it manageable.
The start of a great relationship
It is frustrating to think that upper limits are set, not on the capacity to advise or the availability of new clients, but by interminable tasks and the need to generate pages of compliance blurb, which is often impenetrable or meaningless to the average investor. For those unwilling to accept this status quo, embracing automation..