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Latest News - Melony Holman

From suitability to spot checks: dealing with four compliance concerns

Compliance consultant Mel Holman has picked four of the most common causes for concern and offer advice on how to deal with them.

Blog: Are small firms still attracted to networks?

Some firms are finding reasons to join networks but there are a host of factors to consider before taking the leap.

Data disturbance: IFAs must review information sent overseas

IFAs must review their back offices and alter their data protection licences in light of the EU Court of Justice’s decision to invalidate the US’s safe harbour status.

The claim game: why a long-stop will benefit clients

By applying the Limitations Act to the IFA profession, the regulator could offer advisers more certainty, but also drive down fees and give clients better service.

Cap ad angst: the pain and gain of higher liquidity

It is unclear whether the FCA will achieve its aims with its proposed new rules, which will inflict pain on advice firms but could also lead to better business practice.

Adviser acquisitions: why small IFAs may win the buyout battle

High-profile buyouts may be grabbing the headlines, but many smaller financial services firms are not ready to be bought, nor is business acquisition solely for the large corporates

Pension freedoms: how to stay safe if clients dash for cash

IFAs may have to resort to refusing to work with clients who insist on taking their full pension in cash after April.

Fair fees: how to protect percentage charges

While the regulator prefers flat fees, percentage charging are here to stay as long as the client demands it.

Recruitment risks: the dangers of growing too quickly

Rapidly growing firms should still take neccessary precautions when hiring self-employed advisers, Melony Holman warns.

A different animal: how the new regulator changed its spots

The FCA’s desire to be a forward-thinking regulator marks it out from its predecessor in terms of its attitude towards adviser firms and consumers, but is this enough? Mel Holman, director of Compliance and Training Solutions discusses.

Video pick
Play Boutique tapes: if you want to get rich, work for Goldman Sachs

Boutique tapes: if you want to get rich, work for Goldman Sachs

In the first edition of a four-part series, four boutique bosses reveal how they convince top fund managers to join them.

Play Frenkel Topping chair: why we are going it alone after sale attempt

Frenkel Topping chair: why we are going it alone after sale attempt

Frenkel Topping executive chairman Paul Richardson told New Model Adviser® the company did not sell as planned last year because it realised it could grow as a company without the aid of a strategic partner.

NMA Profile
Adviser profile: Claire Phillips of First Wealth

Adviser profile: Claire Phillips of First Wealth

Despite plans to cut client numbers in half this year, Claire Phillips says First Wealth is committed to closing the advice gap and improving financial education