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Broker Expo: SM&CR for all employees

Downloadable Documents

SM&CR conduct rules are set minimum standards of individual behaviour designed to improve individual accountability and awareness of personal conduct issues across firms. These aim to reduce harm to consumers and strengthen market integrity through encouraging personal responsibility and clear delineation of responsibilities. These can be hard to grasp but Sicsic Advisory is here to help you make sure you are prepared. Download our document to find out more.

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Broker Expo: Appointed Representatives
Getting assurance on your Consumer Duty journey