FCA imposes recruitment ban on the Financial Group for failing to control its Appoint

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FCA imposes recruitment ban on the Financial Group for failing to control its Appoint

23rd July 2014, 18:10:PM

The firms failed to ensure that their ARs and individual advisers were adequately supervised and controlled to minimise the risk of mis-selling and the provision of unsuitable advice to consumers. Networks play an important role in financial services and it is critical that they have access to quality management information and risk-focussed systems and controls […]

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FCA imposes recruitment ban on the Financial Group for failing to control its Appoint

FCA imposes recruitment ban on the Financial Group for failing to control its Appoint

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