Global Compliance in Financial Planning: Insights from Paul Tate of Hoxton Capital Management

Financial Planner Life Podcast

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Unlock the secrets of global compliance in financial planning with our special guest, Paul Tate, the Global Head of Compliance at Hoxton Capital Management.
From his humble beginnings as a financial advisor in South Africa to his influential role in Dubai, Paul shares his compelling journey and the passion that drives him.
Discover how ethics and compliance can positively impact lives across different markets including the UK, Australia, the US, Cyprus (Europe), and South Africa.
Navigate the intricate web of global financial regulations as Paul unravels the complex landscape of multi-jurisdictional compliance and Advice. Learn about the specific licenses and regulatory bodies that govern financial services in regions like Australia, the UAE, the USA, and South Africa. Paul offers his first-hand experience, detailing the challenges faced and strategies employed to maintain compliance while growing international operations. This segment provides an essential guide for anyone looking to understand the regulatory frameworks that shape global Financial Planning.
Explore the future of financial services through technology, with a focus on its role in compliance and client management. Paul discusses how technological advancements are creating efficiencies and ensuring fair treatment for all clients.
Additionally, we delve into the booming trend of digital nomadism, where financial planners can build a strong social media presence and enjoy a flexible lifestyle. This episode is packed with valuable insights and inspiring stories, making it a must-listen for financial professionals and aspiring digital financial planning nomads alike.
interested in joining Hoxton - Check out our careers page here or reach out directly to Sam Oakes

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1. Global Compliance in Financial Planning (00:00:00)

2. Global Compliance Standards and Jurisdictions (00:13:32)

3. Managing Compliance and International Expansion (00:24:58)

4. Entrepreneurship in Hyper Capitalist Environment (00:38:27)

5. Building a Brand Through Digital Nomadism (00:43:08)