Richard Kerr, managing director of Gemini Compliance Solutions Limited, provides compliance consultancy to Baker Davies.
Richard has specialised in offering compliance support services to directly authorised IFAs since 1995. By directly authorised we mean firms who have decided to register directly with the Financial Services Authority and operate their own systems and controls to meet the regulatory requirements ensuring they are bespoke and accurately reflect their needs and the needs of their clients.
Richard's monthly visits to Baker Davies provide an additional layer of client "peace of mind" through an external view on the advice given throughout the firm. Richard will select cases at random to establish whether the firm has given appropriate advice and that it has been communicated clearly. He will review all marketing material to ensure it is clear, fair and not misleading in any way and also acts as a vital sounding-board to discuss regulatory changes and new rules ensuring they are implemented appropriately.
What's it like working with Baker Davies?
"Working with Tony and Peter and their team is so refreshing as their focus on client service runs deep throughout the entire firm and they hold dear similar basic principles to myself in that their passion is for their clients. They are committed to delivering a fully independent advice proposition and operate under the highest levels of integrity and professionalism at all times. They have embraced regulatory initiatives such as 'Treating Customers Fairly' and strive to develop improved systems and solutions to add real value to the client experience."
Interests and hobbies
"I am always happy to play a little golf. When I am not travelling to see my clients, I spend as much time as possible with my wife Alison and our identical twin girls. I also love a good movie."