The Risks From Not Having a Governance Process In Place

Any poor customer outcome (see FCA Enforcements’ page) would reflect badly on firms, oversight boards and senior management and in the end draw the attention of the FCA.  The FCA carried out a study of the asset management industry and made a number of recommendations that will need to be implemented within wealth managers.

Remember that by the time a crisis strikes, it is too late to start preparing for it

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