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FCA’s Appointed Representative regime and the regulatory focus on Principal firms
07/12/22
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Compliance tip: How to prepare for compulsory reassessments
To improve the knowledge of retail investment advisers, the FCA and CII have introduced an annual examination. Our Senior Regulatory Consultant James Marshall discusses how firms should respond.
To improve the knowledge of retail investment advisers, the FCA and CII have introduced an annual examination. Our Senior Regulatory Consultant James Marshall discusses how firms should respond.
Find out more