Tag Archives: past business review

Insistent Clients: Identifying Them Then Dealing With Them And Remaining Compliant

fca conduct rules cobs insistent client sales process

What is an Insistent Client and how to deal with them. The FCA Handbook does not refer to insistent clients and there are no rules or guidance specifically about this. The following will hopefully help to show the FCA’s current stance after their recent consultation paper. IMPORTANT! Insistent Clients must not be confused with an […]

FCA tells firms to revisit past advice after suitability review

FCA tells firms to revisit past advice after suitability review The Financial Conduct Authority (FCA) has said firms should revisit advice given in the past after it found unacceptable examples of suitability reports as part of a review which involved 700 firms. In April 2016 the FCA started the review when it asked firms for […]