FOR SUSTAINABLE, PROFITABLE, CLIENT-FOCUSED ADVISER FIRMS
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‘Focused resolution agreements'
In addition to $425m fine from US regulator
Sold bad loans to struggling businesses
‘Represents a clear conflict of interest’
In response to regulator's mission consultation
'Promote competitive markets'
Seeking personal details
‘Unnecessary’ and ‘unfair’ costs
Non-standard investments 'unnecessary' for most clients
Regulator flags due diligence failings
01 February 2017
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2 min read
