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John Higgins and Maria Symeon share practical advice on documenting oversight, managing delegation, and evidencing challenge.
FCA SUP 12.9
Requires a firm to make and retain specified records for each appointed representative, including contractual and termination information.
Rule Overview
Jurisdiction: United Kingdom
Regulator: FCA
Topic: Recordkeeping
FCA Handbook SUP 12.9Overview
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Our in-brief roundup of notable stories from the last week.
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Our regular roundup of the latest news and developments from the FCA.
In this final article in our NFM series, we consider some of the practical challenges firms may face when investigating allegations of non-financial misconduct.