| 9th Nov 26 | Private Wealth Management | Zoom Call |
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| PWM Compliance | ||
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Chairman Monica Alvarez Julius Baer This meeting has been switched to a Zoom video conference call |
Discussion Topics • Compliance monitoring --evidencing good client outcomes --other monitoring points • Custodian tax-pack errors • EAM brokerage charges • IM Agreements with life wrapper & pension providers • Suitability letters • Discretionary portfolios: evidencing trade suitability • Investment research payment optionality • Third-party PEP and sanctions monitoring • AI impact • FCA interaction • Other FCA points • Other points |
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