Chris Davies: How ready are you for a visit from the FCA?
Three reasons regulator may drop by
Chris Davies: "With the SM&CR on its way, senior managers in particular need to ensure their firm is as prepared as it can be for the possibility of receiving a regulatory visit."
Firms should ensure they have a robust research and due-diligence process in place, writes Chris Davies, so that, should they have to experience an FCA visit, they can do so with confidence
We have written extensively about the new FCA accountability regime and, with the recent FCA Dear CEO letter to the SIPP market in October last year, it has now emerged - thanks to a Professional Adviser...
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Advisers can defer CPD this year in 'exceptional circumstances' - FCA
Defer to 2021/2022