compliance records are up to date Review and resolve Fit and Proper queries Maintain the compliance procedures
compliance records are up to date Review and resolve Fit and Proper queries Maintain the compliance procedures
Competency Register (e.g. CPD and Supervision tracking) Fit and Proper checks for New Wealth Managers Ensuring monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations
Competency Register (e.g. CPD and Supervision tracking) Fit and Proper checks for New Wealth Managers Ensuring monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations