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.
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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
