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Principles-Based Advice - Now it's Joined-Up!
From November 2007, 2020 Financial Services have been progressively phasing out our older 'turnkey' compliance system, in favour of an approach based firmly on the FSA's new COBS regulations.
Visitors who wish to find out more about our general approach to the new regulatory environment should click here.
The complete Principles-Based Advice system is available to all Members of 2020 Financial Services, and can be accessed online. What does it include?
| Best Practice Platform - the practical application of COBS |
| Compliance Documentation Pack - all the necessary ingredients in one editable pack, now accessible to all users of Clarity, our network-wide backoffice system |
| Regular updates/newsletters - PracticeBuilder comes out every month, complete with supplements on topical issues. Our aim is to give you ideas and insights to help you build a profitable, cutting-edge financial services practice. |
| Fee Based Advice - the transition manual - latest version |
| Spot on? - our straightforward guidance to Supervision under the FSA's rules |
| Suitability Report - editable templates, 'COBS-style' - now all available within the Clarity backoffice system |
| FactFinds - new style, interactive versions - makes explicit the links between the information you have and the advice you give - better, more functional versions becoming available within Clarity |
| Our Business Process - our editable template allowing you to document every aspect of your business's functionality, and comply with TCF |
| New Business Register - with the arrival of Clarity, completing your monthly new business return couldn't be easier! |
| Compliance Review Guidance - 'new-style' materials highlighting the standards and approach which 2020 Financial Services now adopt when carrying out compliance visits. |
Our Principles-Based Advice web-resource is continually being updated, and Members should ensure that they visit it regularly.
Non-members can access more general information by visiting:
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