Assessing Suitability Review 2 will focus on initial and ongoing advice to consumers on taking an income in retirement and we anticipate that all future reviews will cover sustainability in all market conditions.
How will you meet the regulators requirements?
Whilst most firms will cover off suitability of advice as standard, ensuring you have a standardised process, reviewing and assessing the quality and suitability of advice on an ongoing basis and having the right controls and measures in place can be a burden.
Signature is a leading provider of regulatory and business support and we can help you to meet the FCAs requirements around suitability of advice.
Signature is a little different from what you may have seen in the market before. The first thing we do is listen. Only after we have spent time with you and your business, listening, understanding and asking the right questions, do we work with you to build a personalised solution to meet your specific needs.
Backed by the UK’s largest and number one support service provider, we are able to provide firms with an enviable array of support and experience, which we will call upon to ensure the firms we work with have the very best the industry has to offer:
We can help with:
A team you can trust
We have assembled one of the most experienced teams in the industry to help you build a compliant and sustainable business process and to provide market leading support services specifically built for Discretionary Investment Managers. Our team is led Elaine Parkes, who has over 20 years’ experience in working with advisory firms and includes an ex CEO of a Discretionary Investment Management firm, an experienced compliance helpdesk and field-based compliance team for onsite visits.
Use our checklist to make sure you are getting the right support for your business.
Alternatively, you can request a call back: