8th Apr 24 Private Wealth Management Zoom Call
PWM Compliance
Chairman
Michael Harden
Netwealth

This meeting has been switched to a Zoom video conference call
Discussion Topics

• Distributor responsibilities for financial promotions
• Certified HNW investor exemption for NMMI
• PA dealing checks
• Individual conduct-rule training
• FCA Points
--thematic review of retirement income advice
--FCA interaction
--other FCA points
• Other points


 
10th Apr 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring

This meeting has been switched to a Zoom video conference call
Discussion Topics

• Regulator activity
--dear CEO letter
--HMT CP: improving effectiveness of ML regs.
--other regulator activity
• Crypto currencies
• Current threats & scams
• Recent enforcement activity
--recent fines
--other enforcement activity
• Other points

 
13th May 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
15th May 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
This meeting has been switched to a Zoom video conference call Discussion Topics


 
20th May 24 Complaints Handling Zoom Call
Complaints Handling
This meeting has been switched to a Zoom video conference call Discussion Topics


 
10th Jun 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
12th Jun 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
This meeting has been switched to a Zoom video conference call Discussion Topics


 
8th Jul 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
10th Jul 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
This meeting has been switched to a Zoom video conference call Discussion Topics


 
15th Jul 24 Complaints Handling Zoom Call
Complaints Handling
This meeting has been switched to a Zoom video conference call Discussion Topics


 
9th Sep 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
11th Sep 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
This meeting has been switched to a Zoom video conference call Discussion Topics


 
16th Sep 24 Complaints Handling Zoom Call
Complaints Handling
This meeting has been switched to a Zoom video conference call Discussion Topics


 
7th Oct 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
9th Oct 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
This meeting has been switched to a Zoom video conference call Discussion Topics


 
11th Nov 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
13th Nov 24 Financial Crime Zoom Call
Financial Crime (AM/IM/WM)
This meeting has been switched to a Zoom video conference call Discussion Topics


 
18th Nov 24 Complaints Handling Zoom Call
Complaints Handling
This meeting has been switched to a Zoom video conference call Discussion Topics


 
9th Dec 24 Private Wealth Management Zoom Call
PWM Compliance
This meeting has been switched to a Zoom video conference call Discussion Topics


 
11th Dec 24 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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