Financial advisers library
The FSA library contains documents that will be of relevance to your firm.
To help you find what you need, this page contains direct links to some of the library documents that you might find useful.
| Newsletters | |
|---|---|
| Financial advisers newsletter - Issue 13 [PDF] |
May 2008 |
| Financial advisers newsletter - Issue 12 [PDF] | February 2008 |
| Financial advisers newsletter - Issue 11 [PDF] Contents: Conduct of Business Sourcebook and MiFID; final salary pension transfers; pension reform and client advice; prudential rules for personal investment firms and multi-manager update. |
November 2007 |
| Financial advisers newsletter - Issue 10 [PDF] Contents: SIPPs; multi-manager; passporting; contract terms; With-profits. |
September 2007 |
| Financial advisers newsletter - Issue 9 [PDF] Content: Retail distribution review; update on the menu and IDD; financially weak firms and quality of advice visits. |
July 2007 |
| Financial advisers newsletter - Issue 8 [PDF] Contents: treating customers fairly; compliance consultants; retail distribution review; more principles-based regulation; definition of pure protection contracts; contracting out of SERPS/S2P; e-learning, roadshows and upcoming workshops. |
May 2007 |
| Financial advisers newsletter - Issue 7 [PDF] Contents: SIPP regulation; REITS; action against firms; more tools ahead; cancelling your authorisation or varying your permission; firm placement scheme; consumer insurance campaign; new MiFID e-learning package. |
March 2007 |
| Financial advisers newsletter - Issue 6 [PDF] Contents: fighting financial crime; your thoughts on our proposed new rules; long term care planning; means tested state benefits; update on fees for 2007/08; new reporting requirements for some firms; new consumer web pages; training, conferences and workshops. |
January 2007 |
| Financial advisers newsletter - Issue 5 [PDF] Contents: removal of audit requirements for small firms; your advice process; changes to rules that apply to you; market averages; build your own IDD and menu; regulation of personal pension schemes; pensions unlocking; pensions term assurance; key facts logo; pension publications; consumer website; roadshows; web based training. |
October 2006 |
| Financial advisers newsletter - Issue 4 [PDF] Contents: phoenix firms; wraps; a new European directive that could affect you; and ombudsman funding. |
June 2006 |
| Financial advisers newsletter - Issue 3 [PDF] Contents: investment disclosure; financial resources; professional indemnity insurance; Treating Customers Fairly toolkit; and building your own Handbook. |
April 2006 |
| Financial advisers newsletter - Issue 2 [PDF] Content: The FSA's financial risk outlook, business plan; fees consultation and calculator; with-profits and ongoing advice; and new pensions and 'debt test' tools for consumers. |
February 2005 |
| Financial advisers newsletter - Issue 1 [PDF] Contents: A-day and self invested personal pensions; income withdrawal; professional indemnity insurance; financially weak personal investment firms; matching risk; and remuneration. This newsletter replaces the retail intermediaries newsletter and is for all financial advisers. |
December 2005 |
| Retail intermediaries newsletter - Issue No. 5 [PDF] | September 2005 |
| Retail intermediaries newsletter - Issue No. 4 [PDF] - Special Edition: Client money | August 2005 |
| Retail intermediaries newsletter - Issue No. 3 [PDF] | May 2005 |
| Retail intermediaries newsletter - Issue No. 2 [PDF] | April 2005 |
| Retail intermediaries newsletter - Issue No. 1 [PDF] | February 2005 |
| Publications for your customers | Date |
| You can order up to 1,999 copies of our consumer publications free of charge through our online order form. | |
| Endowment mortgage complaints [PDF] | |
| Will your investment or savings plan pay off your mortgage? [PDF] | |
| Important information about your yearly pension statement [PDF] | April 2005 |
| FSA guide to financial advice consumer booklet | August 2005 |
| Income withdrawal factsheet | |
| Factsheet: The State Second Pension - should you be contracted out? | November 2006 |
| Speeches | Date |
| Speech by Clive Briault: Treating Customers Fairly - Progress and future plans |
4 October 2005 |
| Speech by Michael Lord: Regulatory action against Phoenix Firms |
10 June 2005 |
| Speech by Clive Briault: The retail financial advice market - a regulatory perspective |
5 May 2005 |
| Other | Date |
| Exchange of views between the FSA and a practitioner about the increased supervision of small firms [PDF] | March 2008 |
| Simplifying disclosure: Information about services and costs consultation paper | 19 February 2008 |
| New Conduct of Business Sourcebook and MiFID | 1 November 2007 |
| Guide to the new conduct of business sourcebook for small firms [PDF] | 24 August 2007 |
| Possible agenda for initial customer meeting [PDF] | June 2007 |
| Suitability reports [PDF] | June 2007 |
| Do your suitability reports tell the right story? [PDF] | June 2007 |
| Customer survey [PDF] | June 2007 |
| Management Information: Does it show the full picture? [PDF] | June 2007 |
| Customer file reviews [PDF] | June 2007 |
| Knowing your customer and assessing their needs [PDF] | June 2007 |
| What funds must I have to meet regulatory requirements? [PDF] | March 2007 |
| Anti-money laundering (AML) and combating terrorist financing (CTF) | 16 November 2006 |
| Proposed rule changes | 1 November 2006 |
| Treating Customers Fairly (TCF) update | 19 July 2006 |
| Summary of detailed findings for small retail financial advisers of our cost of regulation study | 28 June 2006 |
| Hot topics for financial advisors | 2 June 2006 |
| Important changes to the UK anti-money laundering regime | 18 May 2006 |
| Forthcoming financial adviser projects | 25 April 2006 |
| Letter to the IFA Defence Union [PDF] | 21 February 2006 |
| Communications survey results for financial advisers | February 2006 |
| Planning for European Directives | November 2005 |
| Email to the IFA Defence Union | 23 August 2005 |
| Introduction to Depolarisation letter [PDF] | 13 May 2005 |
| Consultation paper 05/12: Investment product disclosure: proposals for a Quick Guide at the point of sale |
July 2005 |
For more help finding the information you need, refer to our pages on Top 20 frequently asked questions.