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FCA fines broker firm £409k over trade surveillance system

A London-based broking and investment firm has been handed a fine by the FCA for its failure to update its risk surveillance systems following a business model change. Linear Investments’ trading is primarily conducted via electronic Direct Market Access. The firm saw increased trading volume following a business model change prior to November 2014. The […]

Choosing the key to success

How to avoid costly network mistakes

Advisers share their tips and experiences in finding the right network There are many benefits of being an appointed  representative but choosing the wrong network could cause havoc for a business. Here, three advisers share their tips and experiences. An open mind  Simplified Money director Lesley James considered going directly authorised when setting up the […]

Michelle Hoskin: Time to take back control of our profession

Does your business have what it takes to ride the global wave of change? Has the world finally gone nuts? Has financial services finally reached the point where we cannot take any more? In the 20 years since I first came into this magical business, so much has changed. The pressures are demanding. Challenges keep […]

Highlight the tangible benefits of protection through value-added support services

Many clients aren’t aware that their protection policy can give them access to practical and emotional support for coping with bereavement or serious illness. Such additional services can really add value, and help your clients see the tangible benefits of protection. Scottish Widows Care comes with every protection policy at no extra cost and is […]

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