This factsheet has been produced to help Corporate Finance Advisors (CFAs) understand what is required when it comes to dealing with and providing investment services to retail clients. In addition a breakdown of the different types of clients that CFAs may come into contact with has been included to help improve understanding.
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Gary is an Associate Director within our Investment Firms team and a core member of our Financial Resilience practice. He provides day to day compliance support to a range of clients across the investment sector, managing a variety of projects and providing specialist advice. Gary specialises in supporting Investment Management, Corporate Finance and Crowdfunding clients, helping them to maintain their compliance and meet their regulatory obligations.
