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Advice governance / Practice briefing

From regulatory update to practice change

Turn a dated publication into a considered action. Learn to distinguish findings, proposals and rules before changing your process.

UK financial advisers, paraplanners and advice quality reviewers

The difference you can make

What you will work towards

  1. 01Identify a publication's status, date and scope before using it.
  2. 02Translate a relevant finding into a proportionate evidence check.
  3. 03Define an owner, review date and evidence of whether a change worked.

Your route through the activity

  1. 01
    Date it before you debate it

    First establish what kind of document you are reading.

  2. 02
    Ask what is happening here

    Use external findings to pose better questions about your own work.

  3. 03
    Turn a finding into a controlled change

    An action should be small enough to own and clear enough to test.

  4. 04
    Close the learning loop

    An action being done is different from an action working.

Lesson links open a preview. Start the published course to save progress.

Read the primary sources