Posts tagged Authorised Representatives
The rise and rise and rise of WPR Financial Strategists

Compliance training doesn’t have to be boring and bureaucratic. This three hour workshop is a case-study exploring the real challenges and issues in financial services. As employees and officers of “WPR Financial Strategists” participants are forced to identify, grapple with and resolve the reality of managing a financial services licensee.

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Is your Licensee your greatest risk?

Advisers join Licensees for a variety of reasons - price, convenience, shared values and history - but underlying all these is the presumption that the advantages of joining a Licensee outweigh the disadvantages. What if that presumption is wrong? What if your Licensee's conduct is a far greater source of compliance risk to you then your own conduct? This article explores the risks implicit in the Licensee and proposes some practical ways to mitigate those risks.

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