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
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.
Sign up for Regulation Round-up
Regulation Round-up is our monthly newsletter to all regulated firms, including hot topics, event information and news affecting each sector. Sign up below.