Sean Graham

Financial planning

Taking a proactive approach to compliance frameworks

Proactive compliance risk management has become both a “regulatory necessity” and a “cornerstone of ethical excellence” for financial advice licensees, this compliance pr...

Policy & Regulation

‘No time to breathe’: Compliance professionals facing burnout

Compliance professionals working in financial services are facing burnout risk as higher workloads, coupled with the ever-changing regulation, place notable strain on sta...

Policy & Regulation

Advisers need to avoid regulator 'radar'

Financial advisers need to make sure all their new regulatory requirements are in place by October to avoid any scrutiny from the regulators, even if they aren’t receivin...