FOR SUSTAINABLE, PROFITABLE, CLIENT-FOCUSED ADVISER FIRMS
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Written to more than 3,000 principals about their obligations
'Regulatory lacuna'
Require stronger oversight by principals
FCA’s consumer strategy paper
Five-week consultation
Plans for 2021
Also warns of misuse of firm reference numbers
Both ARs of Intrinsic
It's a matter of principal
Ten mistakes that led to Financial's landmark FCA recruitment ban