FCA sends Dear CEO letter to Wholesale Brokers

The letter details the FCAs view of the most important risks arising from wholesale brokers, what they think drives those risks, and the supervisory focus for the next two years. They make it clear right at the top of the letter that they expect relevant firms and their Boards to discuss the contents of this letter, consider how the risks apply to your business and take action to manage them effectively.

This is exactly what our gap analysis template is designed for.

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