Financial drivers of conduct risk

The FCA has made it clear that conduct risk is at the heart of UK regulation. But what does it mean in practice? And how can you protect your firm?
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SM&CR – the tricky bits

If you’re not already in it, you’ve got till December 2019 to get ready – what’s going to be hardest?
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Fund suspensions – product governance and conflicts management under pressure25 June 2019 / Article Retail investors are once again being told that, because of a gated product, they don’t have the instant liquidity they thought they had. As a result of the Woodford headlines this month, the FCA are even more likely to challenge product governance processes as part of a forthcoming review. There are more cases starting to appear at other managers, so it’s worth getting your house in order now to avoid painful consequences.


Practical product governance – a client-first approach3 July 2019 / London03 July 2019 @ All day - Fund gating has hit the news again this month, and retail clients often bear the brunt of governance issues. Wherever you sit in the value chain now is a good time to be thinking about how you manage your products and services. And putting investors at the heart of these decisions will help meet the [...]

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UK wealth manager and financial planner – pension switching suitabilityUK & Europe

Client type: UK wealth manager and financial planner

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