PI consequences from FSA censure, law firm warns
A recent seminar held by law firm Clyde & Co. and KPMG highlighted key areas in which brokers are fa...
A recent seminar held by law firm Clyde & Co. and KPMG highlighted key areas in which brokers are failing with regulation. Speakers focused on areas that need particular review and supervision and the penalties for non-compliance, as well as advice on practices and processes to avoid falling foul of the regulations. Client money topped the bill (see box).
However, despite the fact that Andrew Honey, head of the small business division at the Financial Services Authority, said during Professional
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