With the regulator due to check up on firms later this year, it’s important you review your approach to ongoing service delivery.
Michael Lawrence | Bovill Newgate
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.
Time for financial advisers and investment intermediaries to review their processes as additional regulatory scrutiny looms.
Joint policy paper reviews the boundary between advice and guidance to improve quality and availability of consumer support.