Blog

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.

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.

RWA Director Tom Wood has been named a Winner at the 10^th annual Leading Wales Awards, the prestigious pan-Wales awards that champion leadership across Wales.