The Financial Conduct Authority has fined one of the Uk's largest adviser networks £6,031,200 for failing to ensure that investment advice given to its customers was suitable and failings in the systems and controls that governed the oversight of its appointed representatives . . .
read more.
The FCA has imposed a £3 million fine for suitability failures in the wealth management business of an international bank and, in a separate action, sought to fine and ban a NED for lack of integrity . . .
read moreThe new world of digital media offers exciting possibilities, and considerable risks, to financial services organisations
. . . and something of a headache to regulators.
Keep up to date with the latest FCA regulations, guidance and approach to 'new' media by attending our new half day course on 'Digital Media: Meeting FCA Financial Promotion Requirements.'
For full programme details click here or call us on 01908 488170.
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