Compliance - more than just regulation

By Dawn Dennington, The Sunday Group

This week's Investment Week Articulate page looks at exactly what intermediaries need to do to ensure they meet compliance requirements If there's a subject you'd like to see explored on this page, please email: [e-mail] A major cause of stress for intermediaries is paperwork. Pre-regulation, an adviser's workload was generally split: 80% finding/developing business; and 20% completing paperwork/administration. But today this ratio is reversed. It's not that advisers don't consider paperwork important – in today's litigious society, advisers are well aware of the n...