Dear CEO: Suitability
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 […] [...]
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 […] [...]
DISP is of particular relevance to firms with eligible complainants (not to be confused with eligible claimants; see Regulatory Roundup 25 for further details) in the handling of complaints e.g. […] [...]
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 […] [...]
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