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IFA fined 25k for system failures

The FSA has fined IFA CFS Independent 25,000 for serious systems and controls, risk management and compliance failures. The regulator concluded CFS had a poor risk management strategy, relied heavily on third parties to comply with regulatory requirements, and was not aware of key obligations when a firm is entrusted with client money and client assets.

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Seeking quality in uncertain markets

By Ewan McAlpine, Senior Client Portfolio Manager In uncertain times, investors naturally seek safety. But in fixed income markets, what does that really mean? Ewan McAlpine outlines the approach RLAM’s Fixed Income Team will be adopting across its credit funds in response to potentially volatile markets this year. Click here for full article

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