Bookmark
Financial advisers
In this section
Regulated firm tasks
Your business
-
Professional standards: advisers
-
Client money and assets
-
Financial crime
-
Advising on P2P agreements
-
Capital resources requirements for personal investment firms (PIFs)
-
Money laundering and terrorist financing
-
Whistleblowing
-
Training and competence
-
Recruiting, training and supervising staff
-
Recording telephone calls
-
Financial incentives
-
Remuneration
-
External audit requirements
-
Compliance and other support
-
Reviewing your resources
-
Outsourcing and operational resilience
-
Professional indemnity insurance
-
Recording telephone calls
-
Culture and governance
Your customers
-
Treating vulnerable consumers fairly
-
Fair treatment of customers
-
Adviser charging rules
-
Assessing suitability
-
Financial Advice Market Review (FAMR)
-
MiFID II: retail investment advice firms
-
The basic advice regime under MiFID II & IDD
-
PRIIPs disclosure: Key Information Documents
-
Unfair contract terms
-
Financial promotions and adverts
Latest news
Published:
Published:
Published:
Published:
In focus
Assessing Suitability Review
This report sets out the findings from our review into the market for pensions and investment advice.
Financial Advice Market Review: final report
This report presents a series of measures aimed at stimulating the development of a market that provides affordable and accessible financial advice and guidance for everyone, at all stages of their lives.
It also contains proposals designed to increase consumer engagement with financial advice.