Firm culture in financial services


Having worked with many different organisations, I have some experience about the different cultures that are operative in IFA firms and networks and larger institutions. The differences can be quite illuminating.   In preparation for this article, I did a little bit of research to back up my own experiences and perhaps explain why certain cultures prevail. Culture in financial services is widely accepted as a key root cause of the major conduct failings that have occurred within the industry in recent history. Given its impact, firms’ culture is a priority for the FCA. The FCA expects firms to foster…

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Compliance Consultant

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