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Platforms latest in spate of Dear CEO letters20 February 2020 / UK & EuropeAnother Dear CEO letter dropped through the letterboxes of investment platforms earlier this month. The regulator has set out a number of areas where it feels platforms are lacking. If you’re not already addressing these issues, it’s a wake up call that the FCA are taking notice, and that under SM&CR they expect someone to be on the hook.
The FCA has started the year with a clear message. Alternative asset management is in its sights. Distinct supervisory teams have been set up to increase focus on particular areas. This is one of them, and the Dear CEO letter published in January outlines its expectations.
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