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