Bookmark
Financial advisers
Coronavirus (Covid-19)
FCA expectations on financial resilience for solo-regulated firms
Work-related travel – responsibilities of Senior Managers
Information for firms on coronavirus response
Including SM&CR responsibilities, regulatory change and impact on customers.
Information for firms on coronavirus response
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:
In focus
Advising on P2P agreements
Find out more about the new permission for the regulated activity of ‘advising on P2P agreements’.
Advising on P2P agreements
Capital requirements for personal investment firms (PIFs)
Requiring capital resources is one of the ways we regulate firms prudentially.
Capital requirements for personal investment firms (PIFs)
Life insurers and pension providers
Find out more about our guidance, research and news.
Life insurers and pension providers
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.