Step by step: Tackling the FCA's due diligence 'checklist'
Step by step: Tackling the FCA's due diligence checklist
Taking a tick box approach to the FCA's due diligence pre-visit information questionnaire might not be popular but it will save time in the long run, writes Ian Cockerill
The Financial Conduct Authority (FCA) has indicated that it is to conduct a thematic review into due diligence (including research) undertaken by firms to ensure that customers are sold suitable products...
More on Regulation
Treasury Committee urges expansion of FCA's powers
Expanding the 'regulatory perimeter'
FCA's Randell: UCITS rules sparked 'perfect storm' for Woodford fund
Scope for change post-Brexit
Vinay Jayaram: The FCA's 'review of reviews' could transform advice
Opportunity must not be missed
Portafina to pay compensation for 'insistent client' transfer advice
FOS complaint partially uphold
Investors lose £27m to 'get rich quick' crypto and forex scams in 2018/19
Complaints triple in past year
More news
Nine million mid-life employees 'sleep-walking' into retirement
2,000 people surveyed
Report finds 'disappointing' progress on FTSE 100 board gender diversity
Six FTSE 100 female CEOs earning 32% less than men
A Brummy great city: Why Birmingham is becoming a hub for financial advice
It is the 'Second City'
Newcastle IFA Lowes Group begins expansion of investment arm
Joins from VitalityInvest
Back to Top