Compliance – not regulated – really?
August 2017
All advisers are subject to compliance and in regular contact with a compliance practitioner of some description.
Advisers live in a world where regulation is king and many are almost paranoid about doing the right thing for their clients and providing evidence in this respect.
All advisers are subject to compliance and in regular contact with a compliance practitioner of some description. These compliance people can range from “tick-box” merchants through to “light-touch” practitioners. There is room in the world for all types of compliance consultant, dependant on the needs of each firm and the preference of the principals of firms.