| 8th Apr 24 | Private Wealth Management | Zoom Call |
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| PWM Compliance | ||
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Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call |
Discussion Topics • Distributor responsibilities for financial promotions • Certified HNW investor exemption for NMMI • PA dealing checks • Individual conduct-rule training • Costs & charges • Annual suitability assessments • Negative press alerts • Back-book reviews of products: structured products • FCA Points --thematic review of retirement income advice --FCA interaction --other FCA points • MI packages • Other points |
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