Advice and suitability: FCA and FSA enforcement action
Resource type: Practice Note
A tracker providing details of FSA final notices relating to advice and suitability failings in firms that result, in whole or in part, from breaches of Principle 9 of the FSA's Principles for Businesses. The tracker also lists some of the common themes arising from thoseenforcement cases.
PLC Financial Services
The full text of this resource is available by logging in or by requesting a trial. If you have any questions, please contact us or your PLC Account Executive.
A free trial will give you:
Unlimited access to our online legal know-how services during the trial period
Full training and support
Six issues of Practical Law The Journal, the companion to Practical Law online
Weekly update e-mails on current legal developments in your practice area