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Every firm wants to deliver great advice.

The challenge lies in turning those expectations into practical, repeatable processes that work.  

Screenshot 2025-11-24 at 16.02.06

With Consumer Duty now firmly embedded and regulatory scrutiny increasing, firms are under growing pressure to evidence the quality and consistency of their advice. We want to help firms bring clarity to every stage of the advice journey by translating regulation into practical action.  

The tick-box exercise is no longer enough to approach compliance. We want to set an example to turn it into an effective practice, ensuring advice processes are compliant, well-governed, and truly client-centred.  


The Adviser’s Blueprint focuses on what works in practice, helping firms build a stronger framework, enhance client trust, and stay ahead of regulatory change. Our consultants combine deep regulatory expertise with practical experience gained within advice businesses as former advisers, compliance managers, and SMF holders. This blend of insight and pragmatism allows us to translate FCA expectations into workable solutions that strengthen governance, enhance advice quality, and deliver consistently strong client outcomes.  

 

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CASS Survival Guide
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The Adviser’s Blueprint has been developed by Thistle Initiatives’ Retail Investments team, drawing on extensive experience supporting regulated firms across the UK, including IFA networks, wealth managers, and discretionary investment firms. 
Meet the Experts

Paul Marriott
Paul Marriott

Manager, Investments Retail

With over 25 years in financial services, Paul has dedicated his career to fostering compliance and regulatory excellence, helping firms thrive in secure, well-managed environments. His extensive advisory experience with both retail and corporate clients provides a deep understanding of diverse financial needs and regulatory demands. Specialising in compliance oversight for complex, evolving organisations, Paul creates practical solutions that balance regulatory requirements with business goals.

Passionate about training and competence development, he empowers individuals and teams to appreciate compliance’s role in sustainable success, guiding firms and professionals alike towards integrity and growth in today’s dynamic financial landscape.

Paul Caine
Paul Caine

Associate Director, Investments Retail

As an Associate Director at Thistle Initiatives and a dedicated member of the Chartered Insurance Institute (CII), Paul consistently demonstrates his commitment to upholding the highest standards of professionalism and expertise in the financial industry. His involvement in Section 166 projects underscores his dedication to enhancing the industry's integrity and regulatory compliance.

Specialising in pensions and investments, Paul possesses a profound understanding of regulatory compliance across various sectors. His established track record is a testament to his ability to deliver tangible benefits to his clients.