Financial advisers
Related information
Information on the sector team dedicated to your area of the industry.
See also
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A to Z index
These pages are for you if you are a small financial adviser and want to find out more about how the FSA regulates you and what’s going on in your sector.
Latest updates and additions
29 April:
Retail Distribution Review Interim Report
24 April:
Security of customers' data
25 March:
Investment quality of advice processes
Tools for financial advisers
Are there particular areas of your business you need help with?
Whether it's gathering the right 'know your customer' information or collecting management information, our tools can help point you in the right direction.
Information about MiFID and Passporting
If you advise clients located elsewhere in the European Economic Area, you may need a "passport" to comply with the Markets in Financial Instruments Directive.
The Financial Advisers and Passporting factsheet will provide more information while the newly produced Passporting FAQs answers frequent IFA queries.
Retail distribution review - Interim Report published
We set out:
- Main areas of feedback received
- Possible changes suggested by that feedback
- A view of a simpler market separating advice and sales
The new Conduct of Business Sourcebook (COBS)
As you will be aware, (COBS) was introduced in November last year. This applies to all firms conducting investment business.
View our COBS pages for further information.