IFA firms are facing enforcement action because the FSA's new principles-based regulation has spread uncertainty, an international law firm has warned.
According to Freshfields Bruckhaus Deringer, advisers should regularly record and review their decision making or face enforcement with the benefit of hindsight. Firm partners David Scott and David...
To 'future-proof advice firms'
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Three years at Wells Fargo
Effective from 9 December 2019
One firm with permission suspensions left