8th Apr 24 | Private Wealth Management | Zoom Call |
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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 |
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10th Apr 24 | Financial Crime | Zoom Call |
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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 |
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13th May 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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15th May 24 | Financial Crime | Zoom Call |
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Financial Crime (AM/IM/WM) | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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20th May 24 | Complaints Handling | Zoom Call |
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Complaints Handling | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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10th Jun 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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12th Jun 24 | Financial Crime | Zoom Call |
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Financial Crime (AM/IM/WM) | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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8th Jul 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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10th Jul 24 | Financial Crime | Zoom Call |
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Financial Crime (AM/IM/WM) | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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15th Jul 24 | Complaints Handling | Zoom Call |
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Complaints Handling | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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9th Sep 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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11th Sep 24 | Financial Crime | Zoom Call |
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Financial Crime (AM/IM/WM) | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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16th Sep 24 | Complaints Handling | Zoom Call |
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Complaints Handling | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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7th Oct 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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9th Oct 24 | Financial Crime | Zoom Call |
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Financial Crime (AM/IM/WM) | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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11th Nov 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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13th Nov 24 | Financial Crime | Zoom Call |
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Financial Crime (AM/IM/WM) | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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18th Nov 24 | Complaints Handling | Zoom Call |
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Complaints Handling | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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9th Dec 24 | Private Wealth Management | Zoom Call |
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PWM Compliance | ||
This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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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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