The regulator may have relaxed its proposals on recording relevant client conversations but, explains Phil Deeks, whichever option firms eventually pick is likely to require a number of process changes
The Financial Conduct Authority (FCA) has moved away from its previous intention of mandating that all relevant conversations involving financial advisers are recorded. The regulator's final rules, published...
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Avoidance, evasion and non-compliance
From 6 April 2019