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.
Readers of the FCA’s Dear CEO letter to wealth managers and stockbrokers (sent in November 2023) will have noted a distinct shift in the FCA’s tone. This was the regulator in combative, sabre-rattling mode for this “higher risk” sector – calling out the work it expects firms to have
The
Subscribe for free to read a limited selection of articles like this one, or get a premium plan for unlimited access to all of them and more.
