due diligence,
MIFID II,
Consumer Duty,
Product Governance,
data
Scrutinise your Product Governance Framework “Product oversight and governance refers to the systems and controls firms have in place to design, approve, market and manage products throughout the products' lifecycle to ensure they meet legal and regulatory...
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governance,
third parties,
assessments,
oversight,
risk management,
monitoring,
due diligence,
competence,
appointed representatives
In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...
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