In this episode, Vicky Pearce and Rachel MacRae break down crucial findings from the newest FCA reviews. We spotlight gaps in client categorisation and AML frameworks, tackle changes in supervision for professional services, and discuss recent enforcement actions. Clear examples and practical tips bring regulatory challenges to life.

Spotlight on Client Categorisation, AML Weaknesses, and Sector Resilience

Stay up to date with the latest in financial advisory and wealth management regulation. Each week, we break down key regulatory changes, compliance trends, and industry insights to keep you informed. Whether you're a financial adviser, wealth manager, or compliance manager, our expert analysis ensures you stay on top of the rules that matter. Tune in for clear, concise, and actionable updates - because compliance should never be an afterthought.

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Spotlight on Client Categorisation, AML Weaknesses, and Sector Resilience

Spotlight on Client Categorisation, AML Weaknesses, and Sector Resilience