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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