Chris Davies: Keeping a firm handle on regulatory and financial risks
Competence, conduct and profitability
Chris Davies: "Clients will trust a firm that knows its strengths and builds a strategy to counter its weaknesses."
The FCA's accountability regime means advisers must now constantly prove they have their finger on the pulse of their businesses' competence, conduct and profitability, writes Chris Davies
With the retail investment adviser (RIA) market now under severe scrutiny through the FCA's accountability regime, the regulator's latest Data Bulletin focused on 2018 Retail Mediation Activities Return-driven...
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Advisers can defer CPD this year in 'exceptional circumstances' - FCA
Defer to 2021/2022