Emma RadmoreFCA has reminded solo-regulated firms of the new annual reporting requirement that will oblige them to tell FCA whether they have taken disciplinary action against individuals who are not senior managers for Conduct...
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FCA stresses client money protection priorities
FCA has written a Dear CEO letter to firms that provide non-discretionary investment services. It notes that clients may have rebalanced their portfolios to mitigate volativity during the pandemic, which has resulted...
Jonathan Drake