These pages are for you if you are a financial adviser and want to find out how the FSA regulates you and what’s going on in your sector.

Latest updates and additions

Resources 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.
Resources for financial advisers

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 (MiFID).

The Financial Advisers and Passporting factsheet [PDF] will provide more information.

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 .

Financial Promotions – Conduct of Business source book .

Further information

Information on the sector team dedicated to your area of the industry.
Retail intermediaries sector .

See also
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