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How wealth managers can avoid misconduct and protect consumers

The skyline of the financial district is seen as people walk through the Square Mile on January 31, 2023 in London, England.
Photo: Leon Neal/Getty Images

Michael Lawrence | Bovill Newgate

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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

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