Blog category

Risk Management

How advice firms find, evidence and act on conduct risk: who reviews calls and when, how oversight is shown to work, and how what is heard on calls feeds the firm's wider risk and compliance monitoring.

Risk Management

SM&CR reasonable steps: how senior managers evidence oversight of advice calls

What the duty of responsibility and the Senior Manager Conduct Rules expect, what the FCA considers when it judges reasonable steps, what it has said about records, and how call monitoring can become evidence a senior manager can point to.

13 October 202611 min read

Risk Management

Complaints root cause analysis: what the FCA expects, and how call recordings help you find the cause

A complaint tells you something went wrong, not why. What the FCA expects from complaints root cause analysis under DISP and the Consumer Duty, why complaint data alone falls short, and how call recordings help you find, fix and evidence the cause.

13 October 202611 min read

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