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Rory Percival Biography

Director


Rory Percival ACII, APFS
Chartered Financial Planner

After 20 years in the financial advice sector and 10 years as a regulator, Rory Percival set up his own training and consultancy firm in November 2016 offering conference speaking, training, guides and consultancy. In his time at the regulator he became increasingly influential in the way the FCA thought about, and supervised advisers and became ‘the face of the FCA’ due to extensive conference presentations.

Within the FCA he was a technical specialist and the ‘go to’ person for all matters relating to financial advice and
financial advisory firms. He exerted extensive influence internally regarding the interpretation of the Rules in practice (for example creating and training staff on the outcomes focused file review process) and played a significant role in setting the agenda for regulatory activity in the advice sector.

The thematic projects he was involved in included pension switching, platforms and intermediaries, structured products, risk profiling, centralised investment propositions, RDR implementation, RDR disclosure, pension freedoms, research and due diligence, and the assessing suitability review.

He also worked in Policy for two years where he was Project Lead for the Depolarisation Disclosure Review and Policy
Lead for platforms.

Prior to joining the regulator, he worked in financial advisory firms mainly in compliance, training and technical support roles. This included ten years at Fiona Price and Partners Ltd where he was Director of Training and Compliance and had oversight of all training and advice standards. In the final years of this period, the firm became part of Thinc where he was Head of Treating Customers Fairly for the whole organisation and Risk Manager for the Wealth Management Division.

He has Chartered Financial Planner status with 460 CII credits.