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.

Attack of the acronyms!

We’ve had RDR, UCITS V, FAMR, PRIIPs, KIIDs and MIFID… Now prepare for GDPR!

The General Data Protection Regulation (GDPR) is a new European privacy regulation. It’s aimed at strengthening and aligning protection of personal data of all European residents. It comes into force across Europe from May 25 2018. Download our white paper before its too late.

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.

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 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 the industry so that you can use the findings to benchmark your business against others.

DFM_DueDiligence

DFM due diligence: the questions to ask

With more and more advisers outsourcing their investment proposition and a significant percentage of that figure using discretionary management services, we published a white paper to help you select the appropriate solutions for your clients.

Census2015

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 the industry so that you can use the findings to benchmark your business against others.

Recruitment

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.

Re-registration

What you need to know about re-registration

In 2013 we took a closer look at the regulator’s stance on re-registration. This paper also examines the work of the Tax Incentivised Savings Association and lists the due diligence questions to ask your platform.

RiskManagement

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.