Quilter has been asked to compensate a client who invested in unlisted shares through a self-invested personal pension (SIPP) on the advice of an appointed representative linked to the firm.
Mr I, whose identity will remain confidential due to privacy reasons, switched his personal pension to a SIPP in late 2012 after seeking advice from an appointed representative (AR) from Caerus Financial....
Systems, controls, governance and culture
Following more reviews
Beyond the FCA's seven considerations
‘Ensure vulnerability is taken seriously’
For smaller and medium firms
'There will be more consolidation'
Fee-based revenue fell 13%