There are four 'prescribed responsibilities' (PRs) a firm must allocate to its senior managers, writes Richard Nuttall, although a fifth applies if the firm is authorised to hold client money/assets - that is, a 'CASS' firm.
Please bear in mind that PRs apply to ‘core' firms only. They do not apply to ‘limited scope' firms, such as sole traders or limited permission consumer credit firms. Firms should decide which senior...
Scope for change post-Brexit
To tackle liquidity issues
More than £100m in pipeline
Results published last week
'Heavily influenced by Morningstar'