As we near Halloween and reach the twilight of our journey, we thought this might be appropriate.
Without wanting to scare the living daylights out of you, could your suitability reports come back from the grave to haunt you sometime in the future?
Over the many years that we’ve worked in this industry, there have been countless episodes of retired advisers being chased by the FSCS, lawyers or ambulance chasers.
The best defence you have is a robust client file and of fundamental importance is a fit for purpose Suitability Report.
We leave our journey from A – Z therefore by imploring you, whether or not you use ATEB suitability, to ensure that your suitability reports are of the highest possible quality.
Advising non-UK clients
Alistair MacDougall Compliance Conduct, EEA, email, EU, FCA, MiFID, passport, PI, vulnerable
Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are still asked for advice around how a UK firm can take on a new non-UK client or continue to deal with such clients that the firm had pre-BREXIT. We have written before about the general […]