As we approach the halfway point of the year, explains Stephen Whitfield, financial firms should already have a clear understanding of their classification and the steps they need to take to comply with the SM&CR
This December will see the introduction of the Senior Managers and Certification Regime (SM&CR) as part of the FCA's drive to improve governance and deter misconduct in the financial services sector...
Maximum 30% of redress
Third Covid-19 resilience survey sent to advisers
Rise in clone scams
Managers plea for clarity over passporting rights
From new attitudes to life, to how they approach investing, the wealth outlook is different for baby boomers, millennials and generation Z. Professional Adviser investigates how this may impact their retirement.
Third highest monthly figure since 1993
'Cannot normalise this level of loss'
There is no shortage of IFA firms looking to sell up, writes Daniel Baade. However, the big question is how to finance the acquisition of IFA or wealth management firms...
Supported over Christmas