| 14th Sep 26 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
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Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call |
Discussion Topics • Suitability: recording investment rationale • US securities: CUSIP codes • IA’s risk warnings review • New SUP 15 notifications guidance • Non-financial misconduct rules • Final transaction-reporting rules • FCA interaction • Other FCA points • Other points |
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| 16th Sep 26 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
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Chairman Jamie Spring Quilter This meeting has been switched to a Zoom video conference call |
Discussion Topics • EU sanctions: Russian clients & citizenship • Providers of EDD reports for higher-risk prospects/clients • Trade/market abuse surveillance systems • Regulator activity --FCA financial crime controls review --other regulatory activity • Recent enforcement activity • Current threats & scams • Other points |
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| 21st Sep 26 | Complaints Handling | Zoom Call |
|---|---|---|
| Complaints Handling | ||
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Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call |
Discussion Topics • AI impact --received complaints --fraud attempts --other AI points • FOS --service reform update --FOS interaction --other FOS points • FCA consumer duty: support outcomes review • CMC activity • Other points |
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| 12th Oct 26 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 14th Oct 26 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 9th Nov 26 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 11th Nov 26 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 16th Nov 26 | Complaints Handling | Zoom Call |
|---|---|---|
| Complaints Handling | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 7th Dec 26 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 9th Dec 26 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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