Almost 70% of those who have so far cast a vote in our current poll are confident their practice has a robust compliance system.
Our poll follows commentary by The Adviser Platform’s Ryan Edwards who says running a compliant business with good governance and oversight is needed before advisers can provide the best service to their clients.
While our poll still has a week to go before it closes, the results so far show that 68% are confident their advice practice operates an efficient and robust compliance management system, 30% indicate it is a work in progress, and 3% appear to concede they are behind the eight ball.
I’m confident my advice practice already operates under an efficient and robust compliance management system.
- Agree (69%)
- Still working on it (29%)
- Disagree (2%)
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