Related information
Explanation of the key FSA words and phrases in plain language
Jargon buster
Find the information you are looking for with our A to Z index for Small Firms.
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z
A
Accident, Sickness & Unemployment
Accountants - appointing
Acronyms
Add-ons [PDF]
Advertising - financial products
Advice, basic
Advised sales [PDF]
Affordability - key rules
Affordability
Alternatively secured pensions
Annual Report
Anti-money laundering
Appointed Representatives - how to become one
Appointed Reps - your responsibilities
Appointed reps – your responsibilities (factsheet) [PDF]
Approved Persons
ASPs
ASU
Auditors
Authorisation - is it needed for insurance business? [PDF]
Authorisations
Authorisations - home reversion and home purchase plans
Authorisations - do I need to be authorised?
Authorised Professional Firms
Back to top
B
Basic Advice
BCP
Better Regulation
Build your own CIDD
Build your own IDD - Financial advisers
Build your own IDD - general insurance
Build your own IDD - Mortgages
Building societies
Business Continuity Planning
Business Plan - FSA
Business Plan 2008/09
Back to top
C
Cancellations
Cancelling authorisations
Cancelling permissions
Cancelling permissions - FAQs
Capital Requirements Directive (CRD)
Capital resources - investment firms [PDF]
Capital resources - LLP - investment firms
Case Studies (TCF)
Change of control
Change of controller
Change of legal entity
Change of legal status
Change of legal status application pack
CIDD
Claims handling [PDF]
Client assets
Client files
Client money
Client money guide
Cluster Reports (TCF) [PDF]
Cluster Reports (TCF) - Financial Advisers
Cluster Reports (TCF) - General Insurance
Cluster Reports (TCF - Mortgage Advisers
Combined Initial Disclosure document (CIDD)
Co-mingling
Commission
Complaints
Compliance consultants
Conflicts of interest [PDF]
Consultants - compliance
Consumer Contact Centre
Consumer publications
Consumer website
Contact the FSA - roadshows
Contact the FSA - surgeries
Contact the FSA - workshops
Contacting the FSA - Consumers
Contacting the FSA - firms
Contracts of insurance [PDF]
Control - changing
Controlled Functions
Controller - changing
Corporate Finance Firms
Cost of regulation
CRED
Credit Protection Insurance
Credit Unions
Crime, Financial
Critical Illness Insurance
Critical illness - sales [PDF]
Customer's data - security
Back to top
D
Data security
Dealing with complaints
Depolarisation
Disclosure - insurance
Disclosure - investments
Disclosure - mortgages
Dispute Resolution Complaints sourcebook
Disputes with customers
Distance Learning
Distance Learning - investments
Distance Learning - mortgage
Documentation - record keeping
Dual Pricing (mortgages)
Back to top
E
E-learning
Electronic Reporting - future developments
Electronic Reporting - RMAR
Electronic Reporting - RMAR help
Endowment mortgages
Equity release
EU Directives - CRD
EU Directives - MiFID
European developments
Events
Extras, Optional with insurance [PDF]
Back to top
F
Factsheets - financial advisers
Factsheets - general
Factsheets - insurance
Factsheets - mortgages
FAQs
Fees
Financial advisers
Financial advisers - depolarisation
Financial advisers - Menu
Financial advisers - quality of advice
Financial advisers - quality of advice factsheet [PDF]
Financial advisers - RDR consultation
Financial advisers newsletter
Financial Capability
Financial Crime
Financial crime - Anti Money Laundering
Financial Ombudsman Service
Financial Promotions
Financial Resources - financial advisers [PDF]
Financial resources - PII for financial advisers
Financial resources - PII for insurance brokers
Financial resources - PII for mortgage brokers
Financial Risk Outlook (FRO)
Financial Risk Outlook 2008/09
Financial Services Compensation Scheme
Firm Contact Centre
Firms On-line
Forms
FOS
Freight forwarders
Frequently Asked Questions
Friendly societies
FSA Handbook
FSA publications - Annual Report
FSA publications - Business Plan
FSA Publications - Financial Risk Outlook
FSA Publications - International Risk Outlook
FSA Rules
FSA Rules - Credit Unions
FSA Rules - Key rules for mortgage brokers [PDF]
FSA Rules - NEWCOB [PDF]
FSA Rules - Pocketbook
FSA Rules - Principles-based regulation
FSA Rules - systems and controls
FSA statutory objectives
FSA009 - Key data sheet
FSCS
Futures and securities firms
Back to top
G
General insurance brokers
General insurance brokers newsletter
General insurance regulation
Goodwill factsheet [PDF]
Guides - handbook
Back to top
H
Handbook
Handbook guides
Home finance
Home Purchase Plans (April 07)
Home reversion
Home reversion factsheet [PDF]
Hot topics
Back to top
I
ICA review
ICOBS
ICOBS at-a-glance-guide [PDF]
IDD - mortgages
IDD - insurance
IFA
Illness, critical [PDF]
Income withdrawal
Independent financial adviser
Individual Capital Adequacy review
Industry Training
Insurance brokers
Insurance: Conduct of Business sourcebook changes
Insurance contracts [PDF]
Insurance firms - reporting
Insurance rules changes 2007
Insurance Sector
Integrated Regulatory Reporting
Intermediaries, Retail
International Regulatory Outlook
Investment managers
Investment trusts - split capital
Investments - Menu
Investment - quality of advice processes
IRO
IRR
Islamic Mortgages
Back to top
J
Jargon busting
Back to top
K
Key Data Sheet FSA009
Key Facts Illustrations
Key rules (mortgage brokers) [PDF]
KFI
Know your customer (KYC) - investments
Know your customer (KYC) - mortgages
KYC - investments
KYC - mortgages
Back to top
L
Learning
Legal status
Lifetime mortgages - good practice guide [PDF]
Limited Liability Partnerships - capital resources
LLP - capital resources
Back to top
M
Management Information (TCF) [PDF]
Mandatory Electronic Reporting
Market averages
Markets in Financial Instruments Directive
MCOB
Meet the FSA - Events
Meet the FSA - roadshows
Meet the FSA - surgeries
MiFID
Monitoring sales [PDF]
Mortgage advisers
Mortgage advisers - quality of advice
Mortgage advisers newsletter
Mortgage broker
Mortgage endowments
Mortgage roadmap - thematic work
Mortgages - affordability
Mortgages - Islamic
Mortgages - self-cert (2005)
Mortgages - self-cert (2007)
Mortgages (Self Certification)
Mortgages (Senior Management Responsibilities)
Mortgages - Sharia
Mortgages - sub-prime
Mortgages (Training and Competence)
Motor dealerships
Motor Retailers
Motor traders
Mutual societies
Mystery shopping
Back to top
N
Network
Network - factsheet [PDF]
NEW COB rules [PDF]
Newsletter - financial advisers
Newsletter - GI brokers
Newsletter - insurance brokers
Newsletter - mortgage advisers
Newsletter - mortgage brokers
Newsletter - reg round-up
Non-advised sales - insurance [PDF]
Non-statutory trust account
Back to top
O
Ombudsman
On-line reporting
Optional Extras with insurance [PDF]
Back to top
P
Packagers
Passporting - general
Passporting - insurance
Passports - general
Passports - insurance
Payment Protection Insurance (PPI)
Payment Protection Plan (PPP)
Payment Services Directive
PBR
Pensiongs, state earnings related scheme [PDF]
Pensions transfers
Pensions, alternatively secured
Pensions, second state [PDF]
Pensions, stakeholder
Pensions, unsecured
Permissions
Permisssions - waivers
PII - factsheet [PDF]
PII - financial advisers
PII - insurance brokers
PII - mortgage brokers
PPI
Practitioner Panel
Practitioner Panel for Small Businesses
Presentations
Press releases
Principal
Principles-based regulation
Professional bodies
Professional Indemnity Insurance (PII) - financial advisers
Professional Indemnity Insurance (PII) - insurance brokers
Professional Indemnity Insurance (PII) - mortgage brokers
Promotions, financial
Property management
Publications - consumers
Back to top
Q
Quality of advice (financial advisers)
Quality of advice (mortgage advisers)
Quick guide to regulation
Back to top
R
RDR
Record keeping
Reform Order - financial services regulation
Regulation - costs
Regulation round-up
Regulatory capital - financial advisers [PDF]
Regulatory Reform Order
REITs
Release, Equity
Remuneration - investment products
Reporting
Reporting - insurers
Reporting on-line
Resources, financial - financial advisers
Resources, financial - financial advisers - factsheet [PDF]
Retail Distribution Review
Retail Intermediaries Sector
Risk transfer agreement
Risks, financial
RMAR
RMAR - accuracy
Roadshows - FAQs
RTA
Rules - credit unions
Rules - insurance
Rules - mortgage sales
Rules - NEWCOB - investments [PDF]
Back to top
S
S2P [PDF]
S2P update
Sales - advised, for insurance [PDF]
Sales - non-advised, for insurance [PDF]
SBPP
SCDD (services and costs disclosure document)
Second state pensions (S2P)
Second state pensions (S2P) update
Security
Securities and futures firms
Self-assessment tool - TCF [PDF]
Self-certification mortgages (2005)
Self-certification mortgages (2007)
Selling practices
Senior Management
SERPS
SERPS update
Sharia Mortgages
Shopping, Mystery
Small Business Practitioner Panel
Small Wholesale firms
Speeches
Split Capital Investment Trusts
Staff training - insurance brokers
Staff training - insurance brokers - FAQs
Staff whistleblowing line
Stakeholder pension
State Earnings Related Pension Scheme
State second pension [PDF]
State second pensions update
Stationery
Statutory objectives for FSA
Statutory trust account
Stockbroker sales
Stockbrokers
Subordinated loans
Sub-prime mortgages
Suitability Letters - financial advisers
SUP
Supervisory priorities
Surgeries (one to one with FSA)
Survey - communications
Systems and Controls
Systems and Controls proposals
Back to top
T
T&C - financial advisors
T&C - insurance brokers
T&C - mortgage brokers
Tailored handbook
TCF
TCF - case studies
TCF - cluster reports
TCF - self assessment tool [PDF]
Telephone sales - insurance [PDF]
Third party processors
Training - by the FSA
Training and Competence - financial advisers - good practice
Training and Competence - financial advisers - help from the FSA
Training and Competence - mortgage brokers - good practice
Training and Competence - mortgage brokers - help from the FSA
Training and Competence - proposals
Transfers, Pensions
Travel Firms
Travel Insurance
Treating Customers Fairly
Trust accounts
Trust bank accounts
Back to top
U
Unsecured pensions
Back to top
V
Variation of Permissions
Venture Capital Trusts
VOPs
Back to top
W
Waivers
Whistleblowing
Wholesale firms
Withdrawal, Income
Wraps [PDF]
Back to top
