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Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

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Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

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Entries in David Watters (1)

Monday
Jul172017

UK fines compliance officer for his firm’s bad advice

The Financial Conduct Authority penalized a compliance officer Friday for allowing customers of the wealth management firms he worked for to receive wrong advice about their pensions.

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