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FCA’s ongoing service review leaves firms with further work to do
With the regulator due to check up on firms later this year, it’s important you review your approach to ongoing service delivery.
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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA’s Dear CEO “warning shot” to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.
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FCA adviser strategy to review consolidators and data-led supervision
Time for financial advisers and investment intermediaries to review their processes as additional regulatory scrutiny looms.
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Advice Guidance Boundary Review puts transformative change on horizon
Joint policy paper reviews the boundary between advice and guidance to improve quality and availability of consumer support.