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Wealth managers
In this section
Tasks for regulated firms
Your business
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Copy trading
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Client money and assets
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Financial crime
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Professional indemnity insurance
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Recording telephone calls
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Culture and governance
Your customers
In focus
Changes to COBS in Quarterly Consultation Paper No. 15
A chapter in our latest Quarterly Consultation Paper is looking to make changes to COBS on adviser charging for vertically integrated firms, arising out of the Financial Advice Market Review.
EBA review of the prudential framework for MiFID investment firms
On 17 January, we hosted an event to talk through the recent EBA discussion paper and explain the thinking behind the proposals and give firms the opportunity to ask questions.
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