Quite simply put, if you are in sales, there is no way you should recommend anything to your client’s unless you can prefix it with…
Independent FCA suitability file checks Advisers should have their work checked over to make sure standards remain consistent and high, according to Threesixty Services managing…
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The Financial Conduct Authority will put firms senior managers “through their paces” with the introduction of the Senior Manager’s Regime in 2018, … … and…
[amazon_link asins=’1118024303,1522021140,0198719795,1119240239,B01AS2T0ZA’ template=’ProductCarousel’ store=’digieboodown-21′ marketplace=’UK’ link_id=’5d5c766c-849a-11e7-bdc2-1b7420a1b569′] [layerslider id=”2″] FCA tells firms to revisit past advice after suitability review The Financial Conduct Authority (FCA) has said…
Message from the Owner: Hello, my name is Lee Werrell, Chartered Fellow of the Chartered Institute of Securities and Investments and a Fellow of the…
Of course there are many other ways that the regulator may hear about something detrimental, but we have shown the mainstream areas here. Members of…
“Who Else Wants To Have Compliance Answers – Fast .” Dear Friend, My name is Lee Werrell. You may or may not have heard of…