Tag: Gavin Austin
Regulator Warns Advisers on Record Keeping
Financial Markets Authority CEO, Rob Everett, has emphasised the importance of documenting advice during a panel discussion on conduct and client care at the...
Record Keeping Still Vital Under New Code
Adviser Business Compliance Director, Gavin Austin, says record-keeping is still integral to an advice business even though the newly approved Code of Professional Conduct...
Adviser Record Keeping Lacking, Warns Compliance Expert
A specialist in compliance for adviser businesses, particularly in risk and investment, says good record keeping practices are lacking among advisers.
Adviser Business Compliance (ABC)...