“Pay no attention to that man behind the curtain!”
— Dorothy Gale, The Wizard of Oz
Sleight of hand
Now that we’ve filtered legislatively-challenged and the code-curious, we can speak plainly.
Compliancing* is tough!
There’s simply too much to do, too little time and too many changes.
Unfortunately, we can’t divert the torrent of legislative reform bearing down on you, but we may be able to help you survive it.
Here are four resources that you might have overlooked
- Tools and templates
- Compliance Calendar
- The People’s Choices
“Compliancing might not be a real word but it should be. Otherwise, how do Compliancers explain what they’re doing all the time?”
You may not have noticed, but down in the footer of our site there’s a link labelled “archive”.
Breaking with financial services long-tradition of using the footer to hide disclaimers, denials of liability and otherwise completely avoid any accountability for anything, we’ve decided to use it constructively and effectively.
Our archive holds over 300 articles covering a range of topics and a startling variety of informed opinions.
If you’re grappling with a particular issue, or just want to check your thinking, chances are we’ve covered it in a way that you’ll appreciate.
You might not agree with every one of our opinions, but it might help you understand why we’re often described (by Michael primarily) as “the compliance experts compliance experts use”.
Tools and templates
“A foolish consistency is the hobgoblin of little minds”
— Ralph Waldo Emerson
If you’ve followed us for a while, you’ll appreciate that we’re frequently critical of templates, boilerplates and universal solutions for specific issues.
Our position is usually based on our reaction to specific templates but we’re well aware that drawing your attention to the tools and templates we share on our site may appear incongruous or hypocritical.
However, we don’t know what either of those words mean so we’ll sidestep defensiveness to simply point you in the direction of our:
- Provisional Adviser Notice
- File-note template
- File-note User Guide
- Record of Advice Checklist
There’s a lot going on.
If you’ve been clever enough to license OpenAFSL, then you’ve already got a compliance platform that dynamically manages your risks and obligations, harvests certificates and provides regulatory updates.
You know what’s coming, when, and how to handle it.
If you haven’t embraced our favourite reg-tech compliance platform, fear not, we’ve created a calendar on our site to help you plan ahead.
We hope it helps you and, if you have any suggestions for improvement, please let us know.