The FCA has fined and banned two Directors of a stockbroking and wealth management firm (Pritchard Stockbroking Ltd) for serious failings in relation to the protection of client money.
Annual Fit & Proper Reviews
We are all familiar with the need to carry out annual checks, but recently, we have had a number of queries regarding the scope of these, particularly with regard to Non Executive Directors.
Tom Wood, RWA Director, Wins at Leading Wales Awards
RWA Director Tom Wood has been named a Winner at the 10th annual Leading Wales Awards, the prestigious pan-Wales awards that champion leadership across Wales.