Client reviews


This is quite a hot issue. The FCA has undertaken a thematic review, following RDR, relating to the full advice process. This starts with Initial Disclosure Documents (IDD), goes through fact finding, research, presentation, implementation and then review. The process should move smoothly through this process and will occasionally loop around as a review may mean making new arrangements. Throughout the process, the clients need to understand how and why various things will happen. This…

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Compliance Consultant

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