Compliance: Five tips for speeding up the process

'Compliance is a notoriously time-consuming responsibility'

clock • 5 min read

Harriet Christie shares her expertise on compliance issues and gives advisers some pointers on speeding up the notoriously time-consuming process...

Compliance is a notoriously time-consuming responsibility, a discipline that relies on precision and meticulous oversight. This reputation has been around for some time, even when regulatory compliance was mainly concerned with email and printed materials as opposed to today's steady torrent of digital corporate output. We have gradually seen compliance become more of an industry unto itself as opposed to another ‘hat' for somebody to wear in an organisation - something which has been particularly prevalent in smaller businesses. In recent years, the ‘WhatsApp fines' alone have total...

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 Your Business

Legal insight: Workplace discrimination and dispute resolution

Legal insight: Workplace discrimination and dispute resolution

'In my view, litigation is and should always be a last resort'

Karen Jackson
clock 27 June 2025 • 4 min read
All the advice firm acquisitions that have taken place in 2025

All the advice firm acquisitions that have taken place in 2025

Keeping track of the ongoing consolidation of the advice industry

Professional Adviser
clock 27 June 2025 • 2 min read
How to successfully (and strategically) navigate PII as a financial adviser

How to successfully (and strategically) navigate PII as a financial adviser

‘Don't be seduced by rock-bottom premiums'

Jonathan Newell
clock 26 June 2025 • 4 min read