Management clinic - regulation: Conditional compliance


Let me answer first by telling you a story. It concerns a firm very much like yours, which asked us to carry out a health check while stating that it was probably non-compliant in a few areas because, in the words of the owner-director, it had done very little since 2005. The day after that conversation, the firm was coincidentally contacted by the Financial Services Authority, which summoned the company to a treating customers fairly interview, calling in the meantime for some of their

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