CP21/34: Improving the Appointed Representatives Regime - Current Expectations for Firms
- The Financial Conduct Authority (“FCA”) continues to place strong focus on ensuring products and services are delivering fair outcomes...
At a Glance
MiFID II suitability rules are being amended to require investment advisers and investment managers to obtain retail clients’...
At a glance:
At a glance:
Target audience: CROs, CCOs, COOs, Heads of operational resilience in UK investment management firms
At a glance:
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