Regulation

Closed 265 whistleblowing cases between January and March

Richard Faithfull failed to pay back £529,961

Follows customer vulnerability work

Higher expectations on how firms evidence governance, risk and compliance

Investigation into CMCs and law firms

What to consider when designing an ongoing review service

In wealth management M&A regulation has moved from footnote to headline

Keith Richards spoke at PA360 on 23 April

Speaking at PA360 conference in London

Advice sector stable but room for growth