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.
Sign in or Register to continue reading this article
It's quick, easy and free!
It takes just 5 minutes to register. Answer a few simple questions and once completed you’ll have instant access.Register now
Why register to The Lawyer
In-depth, expert analysis into the stories behind the headlines from our leading team of journalists.
Identify the major players and business opportunities within a particular region through our series of free, special reports.
Receive your pick of The Lawyer's daily and weekly email newsletters, tailored by practice area, region and job function.
More relevant to you
To continue providing the best analysis, insight and news across the legal market we are collecting some information about who you are, what you do and where you work to improve The Lawyer and make it more relevant to you.
News from Wragge Lawrence Graham & Co
News from The Lawyer
Briefings from Wragge Lawrence Graham & Co
A reminder to all brand owners when creating brand names to give careful consideration to ensuring they are original
Court of Appeal confirms no English celebrity image right but Topshop’s Rihanna T-shirt was passing off
The Court of Appeal has delivered its decision in the litigation between Rihanna and Topshop, upholding the trial judge’s finding that Topshop’s unauthorised use of Rihanna’s image on a T-shirt was passing off.