Wragge Lawrence Graham & Co

UK 200 2014 position: 28

Wealth management and asset management sectors: what you should be aware of in FCA’s Business Plan 2

By Dianne Bell

How does this regulatory plan for 2014–15 affect your firm? We outline some of the key issues for which the asset management, wealth management/private banking sectors should prepare.

The Financial Conduct Authority’s (FCA’s) Business Plan 2014–15 was published on 31 March 2014, together with its Risk Outlook 2014 report.

The FCA will be focusing on due diligence in suitability assessments, Retail Distribution Review (RDR) in practice, client money and custody rule changes, conflicts of interest within the wealth and asset management sectors and market abuse controls within asset management firms…

Click on the link below to read the rest of the Wragge Lawrence Graham & Co briefing.

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Briefings from Wragge Lawrence Graham & Co

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Analysis from The Lawyer

  • Paul Wilson

    Regional: attempted merger

    Alliances, failed and successful, are the story of the year outside London

  • Belinda Bradberry

    Interior designs

    Polish up your retention policy - private practice lawyers are increasingly eyeing in-house roles

View more analysis from The Lawyer

Overview

2 Snowhill
Birmingham
B4 6WR
UK
http://www.wragge-law.com/

Turnover (£m): 121.16
No. of lawyers: 440