Bookmark
Sole advisers
In this section
Tasks for regulated firms
Your business
-
Outside support: sole advisers
-
Client money and assets
-
Financial crime
-
Money laundering and terrorist financing
-
Whistleblowing
-
Training and competence
-
Recruiting, training and supervising staff
-
Financial incentives
-
Remuneration
-
External audit requirements
-
Compliance and other support
-
Reviewing resources
-
Professional indemnity insurance
-
Recording telephone calls
-
Culture and governance
Your customers
Latest news
Published:
Published:
In focus
MiFID II
MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.
MiFID II
Advising on P2P agreements
Find out more about the new permission for the regulated activity of ‘advising on P2P agreements’.
Advising on P2P agreements
Complaints data
We publish complaints data on individual firms and aggregate figures for the industry.
Complaints data
Embedding the Mortgage Market Review: Advice and Distribution
This report summarises the key findings of our thematic review of the quality and suitability of mortgage advice provided by firms following implementation of the Mortgage Market Review (MMR).
TR15/9: Embedding the Mortgage Market Review: Advice and Distribution
General insurance add-ons market study
This report sets out our final findings from our market study on the sale of general insurance add-ons. This follows on from our provisional findings report in March 2014, and takes account of the consultation responses we received.