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…
“Who Else Wants To Have Compliance Answers – Fast .” Dear Friend, My name is Lee Werrell. You may or may not have heard of…