The Business You Think You’re Running
Oct 20, 2026 When did you last follow the work? Most financial planning practices have some form of documented processes. […]
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Operational Risk
Excellent Advice, Fragile Business
Oct 13, 2026 There is a sentence I keep coming back to when I think about financial planning practices: Excellent
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RCR submissions: Are we answering honestly, or optimistically?
July 7, 2026 The 2026 Risk and Compliance Return is not just another regulatory questionnaire. It may feel like one.
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When Everyone Is Helping, But No One Owns It
July 2, 2026 Helpful teams can still create fragile processes when ownership is unclear. In many financial planning practices, work
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The risk of assumed compliance
June 19, 2026 Assumed compliance is one of the most common risks I encounter when working with businesses. Somewhere along
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Informal Decision Making Can Be A Blind Spot For Your Business
May 25, 2026 One of the more interesting things about working with financial planning practices is seeing how businesses make
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Processes vs behaviour
May 8, 2026 There is often a lot of focus on designing better processes… Better workflows. Better templates. Better systems.
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Operational Fragility in Financial Planning Practices
April 28, 2026 Most financial planning practices don’t feel unstable. In fact, many feel quite the opposite. Clients are being
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Compliance Theatre in Financial Planning Practices
April 7, 2026 Most financial planning practices are compliant. At least… on paper. If the Implementation Gap is the distance
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Compliance is clear. Implementation is where it gets messy.
March 2, 2026 Very few practices struggle to understand compliance requirements. The challenge starts when those requirements need to live
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