Tag: licensees

After publishing two separate guides and with the Financial Accountability Regime firmly in mind, the regulator was scathing of licensees’ collective remediation processes when it released findings of a recent industry review.

If you’re going to offer services that the incumbents already do well, Steinhardt tells Inside Adviser, you need to do a pretty good job at it yourself. And if there are any flaws in your system, they need to be addressed.