Senior Managers Regime involves a lot of note-taking - here's an account of why it's important and how services can help support SM&CR.
A detailed, contemporaneous file note should be made of all verbal discussions with clients. File notes can be one of the most important documents in the event of a dispute or query with a client. A typical client complaint will involve some element of dispute in relation to the verbal discussions between the adviser and [...]
VoiceNotes: Reg ‘tech’ with a face In a world where regulation is becoming stricter, we could all do with a helping hand, and there are many companies, services, products and tools for the job, including us. However, we have something extra to offer. VoiceNotes may not strictly be a piece of ‘technology’ – a [...]
VoiceNotes – you won’t believe how much time this simple solution is saving many IFAs, financial planners and paraplanners… “The service has enabled me, and the other director of Oakhouse Financial Services, to maximise our time in doing file notes, doing internal memos and also being able to send emails out. It’s been invaluable [...]
VoiceNotes recently achieved ISO 27001:2013 certification. We are pleased to be able to share this, as it demonstrates our continued commitment to the security of our systems, processes and customer data. When looking for a transcription partner, the security of your data should be of paramount importance. ISO 27001 is an internationally recognised, definitive [...]
As is often the case with sequels, MiFID II is more ambitious, more expansive and arguably more confusing than its predecessor. However, with the January 2018 deadline fast approaching, firms throughout the financial sector are putting the necessary strategies in place to meet MiFID II's increased compliance requirements, which aim to safeguard market quality, [...]
We’re the best service when it comes to capturing those thoughts on the spur of a moment or details of a meeting. Most businesses need a record of their meetings for compliance purposes. Instead of scrambling for a scrap of paper to jot down notes or getting their secretary who’s already snowed under with [...]