| 13th May 24 | Private Wealth Management | Zoom Call |
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| PWM Compliance | ||
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Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call |
Discussion Topics • SDR --identifying in-scope funds --sending disclosures to clients --timeliness of disclosures --overseas statements --grandfathering of disclosures --naming & marketing rules for portfolio managers --other SDR points • FCA points --FCA information request: advance notice for consumer duty --CP24/7: payment optionality for investment research --TR24/1: retirement income advice --sanctions testing --FCA interaction --other FCA points • Other points |
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