FCA review: practical recommendations for smaller asset managers and alternatives
fscom’s asset management team has put out a set of practical actions for boards and management committees to consider. These actions are designed to support effective governance, compliance, and risk management within asset management firms.
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FCA review: practical recommendations for smaller asset managers and alternatives
We are pleased to share fscom’s summary and practical guidance on the FCA’s key findings to support your compliance efforts.
This includes actionable steps across
High-risk investments: investor categorisation, financial promotions, and governance
Conflicts of interest: policy development, role segregation, and disclosure
Consumer Duty: embedding the Duty into your business model and culture
About fscom
At fscom - we are Compliance Maturity Specialists.
We help financial services firms measure, master and maximise their compliance framework. We benchmark where they are today against both the regulatory requirements and their industry peers and most importantly, where they want to go next and how to get there.
