Thematic Review: Wealth Management and Suitability
FCA publishes review of wealth management firms and private banks
Suitability: ESMA Guidance
Feedback
Suitability: Draft Guidelines
Draft guidelines published by ESMA
Risk and Suitability
Credit Suisse fined £5.95m
Dear CEO: Suitability
Findings of FSA review highlight weaknesses among firms in assessing suitability, including inadequate client classification
Suitability
FSA issues finalised guidance