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Tag Archives: investigation
A firm receives a section 170 notice: what next?
Regulated firms and their compliance teams are well aware of the risks and potential outcomes should the Financial Conduct Authority (FCA) open a formal investigation. Compliance teams should ensure, in advance of the FCA knocking on the firm’s door, that …
Posted in Longer Reads
Tagged compliance, FCA, investigation, raid
Comments Off on A firm receives a section 170 notice: what next?
