Australia's ASIC has commenced Federal Court proceedings against lead-generation business Clark Family Pty Ltd, alleging that up to 70 websites misled consumers by presenting themselves as comparison services for loans and insurance when, in reality, consumer enquiries were sold to the highest-bidding broker. ASIC alleges the websites claimed to ...
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The Law Gazette reports that the UK Law Society has joined mounting opposition to proposed Solicitors Regulation Authority (SRA) rules that would require certain law firms to separate senior management authority from key compliance roles. Under the approved changes, firms above specified thresholds would generally be prevented from appointing an ...
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Fintech Global reports that as compliance teams plan for 2027, attention is shifting from whether firms have monitoring systems to whether those systems can keep pace with new forms of trading and conflicts risk. StarCompliance warns that material non-public information can now be exploited through cryptoassets, tokenised assets, prediction markets ...
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By Lee Rossini
In a competitive financial advice industry, clients have many providers to choose from. A clear unique selling proposition (USP) assists a financial advice business to communicate why clients should consider its services and what makes its approach distinctive and more attractive than its competitors. A well-developed USP gives the business a clear identity, helps attract the right clients and provides a consistent message across marketing and client communications.
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