Vulnerable customers: is your business taking appropriate action to avoid fines?

The Financial Conduct Authority is pushing firms to take greater care when dealing with vulnerable customers. This is to ensure that vulnerable customers are not exploited, and are given additional support to make financial decisions, particularly when those choices have long-term consequences. Vulnerable customers may not have the capacity to see through sales tactics or…

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Client Assets

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Vulnerable Customers

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Treating Customers Fairly

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Conflicts of Interest

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Whistleblowing

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Anti-Fraud Awareness

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Anti-Money Laundering

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