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The Problem with Marking Your Own Homework
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Manage episode 469407994 series 3618511
In this episode, Alex and Annabel dive into a critical issue in financial services—advisers and compliance companies effectively "marking their own homework." When advisers review their own suitability letters or compliance firms assess templates they’ve provided, is the process truly objective? Or does it create a false sense of security?
We explore the risks, potential conflicts of interest, and whether this approach genuinely protects clients or simply ticks a regulatory box. Is there a better way to ensure robust compliance and high-quality advice?
21 episodes
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