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Financial advisers
In this section
Regulated firm tasks
Your business
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Professional standards: advisers
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Client money and assets
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Financial crime
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Advising on P2P agreements
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Capital resources requirements for personal investment firms (PIFs)
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Recording telephone calls
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Outsourcing and operational resilience
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Professional indemnity insurance
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Recording telephone calls
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Culture and governance
Your customers
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Treating vulnerable consumers fairly
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Fair treatment of customers
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Adviser charging rules
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Assessing suitability
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Financial Advice Market Review (FAMR)
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MiFID II: retail investment advice firms
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The basic advice regime under MiFID II & IDD
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PRIIPs disclosure: Key Information Documents
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Unfair contract terms
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Financial promotions and adverts
Latest news
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.