The FCA has recently completed the second stage of its thematic review on how firms and advisors are implementing RDR requirements. TR 14/5 focuses with greater clarification on what actions firms should take to meet the new independence requirements. TR 14/6 focuses on whether firms are complying with the disclosure requirements.
FCA Thematic Review 14/5 & 14/6 – Supervising Retail Investment Firms
by Emma Cleveland | 2014-08-05 | Our Thinking | 0 comments