Client Money and Assets

A reminder for those firms in receipt of a ‘Dear CEO’ letter under the heading of ‘Client Money & Asset Report’ that went out earlier this year (see Regulatory Roundup #8).

A response was expected from each recipient firm, although no specific date was given. The FSA has now started to send out a letter of reminder to those firms that have yet to respond; a deadline of 30 June is given.

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