News
FCA’s Appointed Representative regime and the regulatory focus on Principal firms
07/12/22
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Regulation Overload: Are Advisers Ready For the MIFID II Mountain
We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.
We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.
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