Right attitude key to regulatory visits

Le Gouais, Marcel
May 2008
Mortgage Strategy;5/19/2008, p10
Trade Publication
The article offers information about broker's compliance to the Financial Services Authority (FSA) of Great Britain. Bill Warren of Warren Compliance LLP expressed that brokers should make an effort to be compliant and must show the right attitude during regulatory visit. He added that the purpose of FSA's visit is to know the daily operations of the business, such as its compliance and records.


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