Regulatory Roundup 28 contained an article on guidance issued by the FSA on ‘Assessing suitability’. As a reminder, the ‘Suitability’ rules, which apply to both retail and professional clients, can […] [...]

The FSA has issued finalised guidance on ‘Assessing suitability’. The requirements regarding ‘Suitability’ can be found in COBS 9.2 and apply to a firm which makes a personal recommendations and/or […] [...]