The FCA warns GI firms to place greater focus on customer outcomes.
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The FCA has criticised complaints handling in some GI firms.
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Changes to FOS, FSCS and RMAR effective from 1 April – read on!
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MiFIDII set even higher requirements around managing conflicts of interest.
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Obligations and Accountabilities
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Many DFM/Adviser relationships are based on the agent as client model. This carries hidden dangers.
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Firms that advise on defined benefit transfers need to ensure that their triage process does not inadvertently cross the line
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How will changes to compliance governance affect your company?
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How will changes to complaint handling rules affect your company?
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