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Wealth firms on alert as FCA's RDR patience runs out

by Dylan Lobo on Apr 08, 2014 at 10:52

‘The FCA's intention to move to immediate enforcement on two firms highlights its more interventionist stance and willingness to take action early when it spots failings,’ Kerr said.  

‘Firms of all stripes should be taking a cue from the pattern of enforcement and seek to ensure that they avoid similar failings in their own businesses."

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1 comment so far. Why not have your say?


Apr 08, 2014 at 12:53

Surely the industry requires a regulator to move culturally speaking in the same direction or at least in tandem with the operators of the market? This 73% is hardly an endorsement of RDR and the anti-competitive doctrines that it represents. It begs the question what the '000s of compliance personnel have been doing since the whole RDR debacle commenced in 2005.

Who's regulating the compliance industry?

Who was it that said?


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