Retail Intermediaries

The last couple of years have brought about some large structural changes for retail intermediaries, and this market has become more challenging as a result. However, the outlook is brightening as increased capital requirements for personal investment firms and the National Employment Savings Trust are set to help improve the sustainability of the sector.

Consumer confidence is improving with the rising stock market and a (relatively) more buoyant housing market, compared with a couple of years ago. Yet there are increasing regulatory challenges for retail intermediaries as they have to stay on top of industry developments such as the Retail Distribution Review and the Mortgage Market Review.

Wolters Kluwer Financial Services has a range of solutions available to help retail intermediaries from IFAs to mortgage and insurance brokers, stay on top of regulatory changes:

Compliance Resource Network

Having the latest regulatory developments at your fingertips as and when they happen will enable you to manage your regulatory risk. Learn More 

eLearning

A combination of ‘off the shelf’ and bespoke training programmes are available on a variety of subjects, including the FSA conduct of business. Learn More 

Consultancy

Our experienced consultants work with you to identify compliance and to process any gaps. In addition, we are able to recommend best practice solutions that can optimise your workflow and resolve any issues. Learn More