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Regulation round-up

April 2012
Regulation round-up is an update produced on a monthly basis for all smaller firms.

ONA Registration

Firms are required to sign-up now
From October 4 usage of ONA will be mandatory. This replaces Firms Online. Your Gabriel and Firms Online log-in are not valid for use with ONA.

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Retail Distribution Review (RDR)

The aim of the RDR is to identify and address the root causes of problems that continue to emerge in the retail investment market.

Consumer information about the changes RDR will bring

We have produced a guide to inform consumers of the changes to the way they seek financial advice and so it is aimed at those who already get financial advice.

The aim is for firms and advisers to give the guide to their clients, it can be used as part of their discussions when explaining the changes.

Business risk awareness

These pages provide information on our new workshops and reviews of small firms.

Positive Compliance seminars

Interactive seminars focusing on improving quality and raising standards

Factsheets

Our printable and tailor-made Factsheets provide summarised, plain language regulatory information for your firm.

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Regulatory Reporting

GABRIEL

Log-in to GABRIEL

ONA

Log-in to ONA

RMA

RMA FAQs
  GABRIEL
ONA

Edinburgh one-to-one sessions

We are holding free informal one-to-one sessions in our Edinburgh Office. You can speak to us about any regulatory questions or concerns you have. Register your interest via email

Treating customers fairly (TCF)

The fair treatment of your customers should now be business as usual for firms. This area is for the final firms awaiting assessment.

Read more on Treating customers fairly (TCF)

Page last updated: 23/05/12