Topics: Featured, Investment Management, Prudential regime
January 14, 2021On 21 January, the Financial Conduct Authority (FCA) delivered a Payments & E-Money: safeguarding & wind-down webinar to compliance consultants which included some significant points that will be of relevance to firms.
Referencing an initial FCA review of 14 firms’ wind-down plans, FourthLine has summarised a number of these below:
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Topics: Featured, Investment Management, Prudential regime
January 14, 2021Topics: Featured, Investment Management, Prudential regime
December 15, 2020Topics: Featured, Risk Management, Investment Management, Prudential regime
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