Rachel Serene | Macfarlanes
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Client categorization reform – the top 10 things you need to know
The aim of the reforms is to rebalance risk and allow firms to make well-founded assessments of whether a client meets the threshold of a professional client.
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What you need to know about the Senior Managers and Certification Regime reforms
The FCA, PRA and HM Treasury have each issued consultations setting out reforms to the SMCR.