RegTech and FCA directives: Enhancing a data-led approach for adviser firms

The regulator's expectations of advisers are evolving

clock • 5 min read

For adviser firms looking to future-proof their operations, investing in RegTech is not just an option but a necessity to thrive in an increasingly regulated and data-centric environment, writes Chris Davies

The financial advisory sector is undergoing significant transformation. As the Financial Conduct Authority (FCA) outlines in its latest Dear CEO letter, financial advisers and investment intermediaries must adopt robust strategies to ensure they meet regulatory expectations while navigating an evolving market. The FCA's focus on data-led approaches highlights the importance of RegTech (regulatory technology) as a key enabler for firms to stay compliant and competitive. Here's how RegTech supports firms in a data-centric regulatory landscape and ensures adviser firms can meet ongoing FCA ...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

FCA acknowledges investment trust platform clash and proposes changes in call for wider CCI input

FCA acknowledges investment trust platform clash and proposes changes in call for wider CCI input

Final rules outlined in 2025

Eve Maddock-Jones
clock 19 December 2024 • 6 min read
WealthTek boss John Dance charged with £64m fraud and money laundering

WealthTek boss John Dance charged with £64m fraud and money laundering

‘One of the most serious and largest frauds’ ever investigated by FCA

Jenna Brown
clock 19 December 2024 • 2 min read
Number of financial firms failed by FSCS increases in October and November

Number of financial firms failed by FSCS increases in October and November

Including Charterhouse and Advice & Wealth Management Solutions

Isabel Baxter
clock 18 December 2024 • 2 min read