Do you have protection?
With the new regulatory regime in force, brokers need to ensure their technology is working to protect their business from the general public
The build-up to the new Financial Services Authority regime took place amidst trepidation over the impact of compliance on brokers. Now it is here and, although the process of change undoubtedly created a significant amount of additional work, upheaval and uncertainty, the transition has, by and large, gone smoothly. The reality is that brokers that are profitable and well managed have nothing to fear from the FSA, which is there above all to help improve procedures and practices.
However, the
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