Dear CEO: Suitability Findings of FSA review highlight weaknesses among firms in assessing suitability, including inadequate client classification
FCA releases near final rules on SM&CR for FCA regulated firms. On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for...
FCA Asset Management Conference – Insights On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The...
