SimplyBiz launches additional support package for discretionary wealth management firms
Following the publication of the FCA’s recent ‘Dear CEO’ letter - ‘FCA Expectations for Wealth Management and Stockbroking Firms’, - SimplyBiz’s specialist discretionary compliance advisory team has launched a range of new support material for discretionary wealth managers and DFMs.
The support includes a gap analysis and ‘record of action taken’ tool to compliment discretionary support services including Discretionary Governance Risk and Control audits, Discretionary Investment Management reviews, and Financial Crime, Supervision, and Advice Process audits, as well as an Advice Quality Review Service, and ICARA Support.
Read more about this additional support, including commentary from our Head of Investment Compliance, Gareth Johnson, in today's Wealth DFM, here https://wealthdfm.com/simplybiz-launches-additional-support-package-for-discretionary-wealth-management-firms-following-regulators-dear-ceo-letter/