08 Dec, 2011
The FSA have published further information about their planned changes to monitoring "small firms"
The exercise will commence in the North West and will then move to other parts of the UK.
1. A series of Workshops hosted by the FSA (you will have to attend)
2. Having learnt from the TCF reviews, The FSA will undertake a program of Regulatory reviews three months after the Workshops - thus giving Firms an opportunity to have implemented any changes. Interestingly, the Review may take the format of a face to face interview; telephone interview or an on line questionnaire.
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3. Follow up work = the FSA believes that there may be issues warranting closer inspection.
Firms with good business practices have nothing to fear.
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