View the article online at http://citywire.co.uk/wealth-manager/article/a745315
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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by Dylan Lobo on Jul 28, 2014 at 15:00