Publications


    Taking thought leadership in a new direction

    To help you to keep on top of the latest industry developments we’ve created a number of white papers that respond to the current legislative and market environment and anticipate future developments. Each white paper sets out the issues, the key themes to be aware of as an advisory business and the action you may need to consider.

    Nucleus Census 2019

    The Nucleus census tracks the progress of our users year-on-year, and gathers their views on the industry now and in the future. Download the 2019 edition now.

    Suitability - a guide for financial advisers

    Suitability is the cornerstone of developing a consistent approach to advice, and extra reassurance to your clients that the recommendations you are making are the right ones for them. Suitability is the framework to deliver great client outcomes.

    Nucleus has compiled this white paper, together with ex-regulator Rory Percival, so that advisers can see the rules that relate to giving suitable advice in one place.

    Platform due diligence: questions advisers should ask platforms today

    We’ve launched an updated version of our white paper on platform due diligence following the FCA’s thematic review (TR16/1). It discusses the impacts TR16/1 may have on your business, the importance of having a culture of challenge in your firm and why you should dig deeper into a platform’s culture and technology.

    Nucleus Census 2018

    The Nucleus Census tracks the progress of our users year on year, and gathers their views on the industry now and in the future. We ask our users about themselves, their business and their clients, as well as their thoughts on key industry topics now and in the future, such as technology and legislative issues.

    GDPR – a guide for financial advisers

    The aim of GDPR is to make sure people have control of their data. You need to understand how this impacts your business, your clients, what data you hold and what you use it for.

    MiFID II a guide for financial advisers

    MiFID II aims to dramatically reduce the risk of market abuse, strengthen investor protection and increase the efficiency of financial markets. It covers a broad range of issues, but we have focused on those which are most likely to affect you as advisers.

    Nucleus Census 2017

    The Nucleus Census tracks the progress of our users year on year, and gathers their views on the industry now and in the future. We ask our users about themselves, their business and their clients, as well as their thoughts on key industry topics now and in the future, such as technology and legislative issues.

    Planning your exit: A guide to creating a succession plan and exit strategy

    Our white paper provides you with information on getting started on developing a succession plan for either internal succession or external sale, what the options and challenges really are, and how to create and execute an effective exit.

    Nucleus Census 2016

    The Nucleus Census provides a definitive record of Nucleus users as you progress each year. Through an extensive survey, we ask a series of detailed questions about you, your business, your clients and your views of the industry so that you can use the findings to benchmark your business against others.

    Nucleus Census 2015

    The Nucleus Census provides a definitive record of Nucleus users as you progress each year. Through an extensive survey, we ask a series of detailed questions about you, your business, your clients and your views of the industry so that you can use the findings to benchmark your business against others.

    Recruitment for financial planning practices

    This white paper provides a structured approach to recruitment: from getting started to choosing the right CVs, to example interview questions. It also provides support with the induction process and the probationary period.

    Risk management for financial advisers

    This white paper identifies the five key areas of potential risk in an adviser firm and outlines the four steps needed to establish a risk management framework. It also provides tips on how to create your own risk register.