One of our clients approached the new regulator with three simple questions. In response, they were given a to-do list that was almost 50 points long.
Another client asked a question about one part of their strategy for growth. The FCA challenged the foundations on which their strategy was built.
The regulator also seems to be clamping down on M&A activity, making life more difficult for purchasers of IFA practices.
Independent consultants to the financial services industry, can help you adapt and stay compliant in the face of new challenges.
Brian Spence
Managing Partner
Harrison Spence Partnership
London
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