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Top three platforms market study predictions

Orphan clients, fund manager charges and technology suppliers’ capital requirements are all expected to be under the microscope The industry is waiting with bated breath for the FCA’s Investment Platforms Market Study final report. Here are our top three predictions for what will emerge. 1. Rules for orphan client chargingThe FCA is very clear that […]


Suzanne Grimster: Keeping on the right side of the FCA with vulnerable clients

Ensuring processes are in place to help identify and manage vulnerable clients will keep everyone safe, including firms The subject of vulnerable clients is attracting increasing interest, and rightly so. Life is never straightforward and this means clients can become vulnerable at different times. That said, a client’s vulnerability is not always easy to spot. […]


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