| 15th Sep 25 | Private Wealth Management | Zoom Call |
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| PWM Compliance | ||
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Chairman Richard Jocelyn Sarasin & Partners LLP This meeting has been switched to a Zoom video conference call |
Discussion Topics • Investment advice: firm-wide permissions • Cross-border advice: expats • Third-party due-diligence questionnaires • SEC section 13F reporting • ESG investing • Acting as an introducer and impact on arranging activity • RIAT • Annual reviews & gone-away clients • HRJ lists: data sources • Gifts & hospitality: fund/asset managers • Referrals • FCA points --FCA interaction --other FCA points • Other points |
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