Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
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There was an interesting FOS case reported recently. The client had a pension portfolio invested via a platform before engaging
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The recent stockmarket downturn and health emergency could well have led to advisers asking themselves some difficult questions: How long
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Alongside its recent temporary restriction on the marketing of speculative mini-bonds to ordinary retail clients (see our article on this),
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The FCA expects firms to treat customers fairly. Previous work by the regulator has shown that not all firms treat
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As part of their Live and Local programme, the FCA has been running a series of Positive Compliance workshops to
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Many reports we view are still over engineered with a subjective choice of hard fact content that is simply not
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