Effective Broker Oversight has become essential to ensuring regulatory compliance and delivering positive customer outcomes in the evolving Financial Services landscape. Businesses increasingly rely on third parties to sell their services and products.
Having an effective Third-Party Risk Management Framework to evaluate and continuously monitor your third parties’ activities is crucial in understanding the risk they pose and the impact of their activities on your firm, your brand, your customers and the wider market.
Read this White Paper to learn about:
- The increased expectations from the regulator on firms and the interplay with the Consumer Duty;
- Designing a comprehensive Third Party Oversight Model which can be applied to your firm; and
- How Square 4 can support your firm through Advisory and Interim Solutions.
This comprehensive resource is designed to support firms in aligning with FCA guidance, evidencing good outcomes, and maintaining a strong focus on continuous improvement. Click the download button below to learn how to strengthen your firm’s approach to Effective Broker Oversight.
If you would like to discuss the contents of this white paper or find out more about how we can support your firm, please get in touch with us at hello@square4.com, or a member of the team below.
Mike Scott – Advisory Director & Author
Sean Kulan – Client Relationships Director
Matthew Drage – Managing Director
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*Still having trouble downloading the white paper? Please reach out to hello@square4.com to receive a PDF copy.*
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