Consumer Investment top tips

Published on: 24/09/2025 11:00

We’re excited to announce the launch of our new series ‘Lessons Learned’ for consumer investment firms!

Each of the next five weeks, we’ll spotlight a key area where consumer investment firms continue to face regulatory scrutiny, providing tangible takeaways to help strengthen control frameworks and governance, all drawn from our own s166 Skilled Person reporting and advisory work.

Starting Tuesday 30th September, here is what to expect:

• Week 1: CASS – Avoiding slip ups
• Week 2: Financial Crime – Where frameworks fall short
• Week 3: Advisory & Sales Practices – Aligning investment with strategy
• Week 4: Portfolio & Fund Management – Managing risk and vulnerability
• Week 5: Product Governance – Embedding good conduct

From outdated CASS resolution plans to weak financial crime governance, we’ll unpack the recurring themes we see in regulatory interventions and most importantly what firms can do to stay ahead.
If you’d like a tailored discussion or a healthcheck on any of these areas, please get in touch with the team