John Moret: The price of light or the cost of darkness?

I ended my last commentary by expressing concern for all senior managers working with SIPPs – whether as a provider or adviser – given the ongoing regulatory uncertainty particularly around the responsibilities for investment due diligence.

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Wealth chief execs say regulation is main headache

Regulatory issues and compliance are the main headaches for CEOs working in financial advice and wealth management, according to a survey by trade body PIMFA.

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Leading law firm launches Senior Manager regime tool

 

Law firm Clifford Chance has unveiled SMCR Manager, a digital tool which will support the forthcoming SMCR compliance regime for firms FCA-regulated firms.

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Compliance chief blasts ‘disgrace’ of unregulated investments

The way unregulated investments are presented to consumers is a ‘disgrace’, the chairman of a compliance firm says.

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