Events listed in Financial Crime Guide (FCG)
Dear CEO letter: FCA expectations for wealth management & stockbroking firms ...
ID 25709
Lucy Castledine, the Director for Consumer Investments had written an open letter to all Chief Executive of wealth management and stockbroking firms to urgently address the topic of FCA’s expectations for wealth management and stockbroking firms. The reason behind the letter is that a firm’s Chief Executive is responsible for its compliance with FCA requirements in preventing financial crimes. Wealth management and stockbroking firms ...