• Doing business with the FSA
  • Small Firms
    • Financial advisers
      • Good practice
        • Unsecured and alternatively secured pensions
        • Mortgage endowments complaints handling
        • Matching risk
        • Suitability letters
        • Wraps

We use the information that we gather from all small firms to provide feedback on good practice. This usually takes the form of a report which we feed back to firms on these webpages, by email or at our roadshows.

We would like you to read the feedback relevant to your firm and consider how you can use it within your regulated business. If you'd like to discuss a report in more detail please book onto one of our surgeries or contact the Firm Contact Centre if there are no surgeries in your area. By working together in this way, we will raise industry standards and improve consumer confidence in financial services.

Available resource on good practice

Appointed representatives - your responsibilities as principal (available in the General Information section)

Financial promotions – case work examples

Financial promotions – thematic reviews

Matching risk

Mortgage endowments complaints handling

Quality of advice process

Suitability letters / reports

Training and competence (available in the Mortgages section)

Unsecured and alternatively secured pensions (often known as income withdrawal)

Using a compliance consultant (available in the General Information section)

Wraps