Monthly Archives: June 2011

note from OWL fresh from the FSA meeting last week

Posted on June 27, 2011 by admin

Suitability: reaction from the FSA meeting As those who were present will have heard, at the FSA’s Annual Public Meeting this morning, Margaret Cole showed that she was unable to answer a straight forward question about Suitability. When I asked … Continue reading →

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Our friends at OWL comment on Suitability

Posted on June 26, 2011 by admin

The Suitability Standard If you have not received the FSA’s Dear CEO letter on its wealth management review, you are either lucky or have an incompetent postman. Those who are not so fortunate would be unwise to ignore the obvious … Continue reading →

Posted in Compliance, Investors, Markets and Regulations, Risk Reporting | Leave a comment