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About this site
We want to make it as simple as possible for the smaller firms we regulate to do business with us.
May Regulation round-up
23 May 2012
Retail Distribution Review (RDR) Newsletter - Issue 5
30 April 2012
CP12/9: 'Redress for Arch cru investors
30 April 2012
Smaller Wholesale Insurance Intermediaries Newsletter - Issue 8
27 April 2012
April Regulation Round-up
24 April 2012
Factsheet for Investment advisers - Exchange Traded Products (ETPs)
23 April 2012
Getting ready for the Retail Distribution Review (RDR), speech by Linda Woodall at the FT Intermediary Forum
17 April 2012
Top 15 conduct risks from our Retail Conduct Risk Outlook
10 April 2012
RDR Consumer Guide: Changes to the way you get financial advice
05 April 2012
GC12/6: Assessing suitability: Replacement business and centralised investment propositions
04 April 2012
March Regulation Round-up
2 April 2012
Retail Conduct Risk Outlook (RCRO)
13 March 2012
With-profits policy statement
07 March 2012
PPI time-barring guidance
06 March 2012
April 2012
Regulation round-up is an update produced on a monthly basis for all smaller firms.
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.

The aim of the RDR is to identify and address the root causes of problems that continue to emerge in the retail investment market.
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.
These pages provide information on our new workshops and reviews of small firms.
Interactive seminars focusing on improving quality and raising standards
Our printable and tailor-made Factsheets provide summarised, plain language regulatory information for your firm.
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
The fair treatment of your customers should now be business as usual for firms. This area is for the final firms awaiting assessment.