FCA confirms call-recording and note-taking rules for advisers
In new MiFID II policy statement
Financial advisers will either have to record or take notes on any phone calls with clients that are "intended to result in a transaction being undertaken", the Financial Conduct Authority (FCA) has confirmed.
In its latest Markets in Financial Instruments Directive II (MiFID II) policy statement, the regulator has allowed advice firms of all sizes to comply with its 'at least analogous rule', which would allow...
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