FCA has strong concerns over governance, conflicts of interest and expertise in host authorised fund managers
- The FCA has found significant weaknesses in host authorised fund managers’ (AFM) governance structures, conflicts of interest management...
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FCA review of MiFID II product governance rules
On 26 February 2021, the FCA published findings from its MiFID II product governance review. The review looked at product governance in a...
ESG - The impact to Advisors and the suitability process
In March 2018 the European Commission published an Action Plan on Financial Sustainable Growth (the “Action Plan”) to help investors...
Key considerations for Wealth Managers : A response to the FCA’s Dear CEO Letter
On 13 June 2019, the FCA addressed a Dear CEO letter to Wealth Management and Stockbroking firms setting out its view of the key risks of...
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