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Financial advisers
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.
The Noticeboard
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30 April: Retail Distribution Review (RDR) Newsletter - Issue 5
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23 April: Factsheet for Investment advisers - Exchange Traded Products (ETPs) [PDF]
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10 April: Top 15 conduct risks from our Retail Conduct Risk Outlook [PDF]
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5 April: RDR Consumer Guide: Changes to the way you get financial advice [PDF]
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28 March: Anti-bribery and corruption systems and controls report [PDF]
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13 March: Retail Conduct Risk Outlook (RCRO) [PDF]
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28 February: Pension transfers - transfer value assumptions
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27 February: Retail Distribution Review (RDR) Newsletter - Issue 4
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.