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So, what is happening at the FCA?

January is generally a time for quiet reflection, easing yourself back into work whilst working off any excess from December. It’s not quite the case for the FCA who have released the following three Dear CEO’s in relatively quick succession.

  1. Asset management portfolio letter (20 January)
  2. Portfolio Letter: Our Alternatives Supervision Strategy (20 January)
  3. Portfolio strategy letter for financial advisers (21 January)

Each letter is different but there are consistent themes and the pace of regulatory oversight for 2020 is set early. We are now seeing the beginning of a more focused theme of ‘regulation to supervision’ from the regulator.

At Devlin Mambo, we have been reviewing and considering what each means for our clients. Our thoughts will follow.

If you would to discuss any of the topics highlighted, please get in touch with your relationship contact, email or call 0131 235 2646.

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Devlin Mambo

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