A – Z for financial advisers
This A-Z is designed specifically financial advisers. Use this A-Z as a quick reference to the information that you require.
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
Accountants - appointing
Addressing risk – scorecard in measuring success [PDF]
Advertising - financial products
Agenda – initial customer meeting [PDF]
Alternatively secured pensions
Anti money laundering self assessment tool
Appointed representatives - how to become one [PDF]
Appointed reps - your responsibilities
Appointed reps – your responsibilities [PDF]
Approved persons [PDF]
Assessing customers needs – one minute guide
Attitude, matching risk
Attitude to risk – an adviser prompt [PDF]
Auditors
Becoming an approved person [PDF]
Build your own CIDD
Build your own IDD
Business continuity planning
Business plan 2008/09
Buying PII [PDF]
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Cancelling permissions
Cancelling permissions - FAQs
Capital Requirements Directive (CRD)
Capital resources
Case studies
Change of control
Change of legal status
CIDD
Client research
COB sourcebook – one minute guide
Combined Initial Disclosure document (CIDD)
Complaints
Compliance consultants
Compliance consultants [PDF]
Consumer publications
Consumer website
Contact centre
Contact the FSA - roadshows
Contact the FSA - surgeries
Contacting the FSA - firms
Controlled functions
Customer contact centre
Customer's data - security
Customer file reviews [PDF]
Customer survey [PDF]
Data security
Data security [PDF]
Disclosure
Distance learning
Distributor influenced funds
Do your suitability reports tell the right story? [PDF]
Does your ‘Know your customer’ information show the full picture? [PDF]
E-learning
Electronic Reporting - RMA
Electronic Reporting - RMA help
Enforcement – one minute guide
EU Directives - CRD
EU Directives - MiFID
European developments
Factsheets
FAQs
Fees
Financial Capability
Financial crime
Financial crime - anti money laundering [PDF]
Financial Ombudsman Service
Financial promotions
Financial resources
Financial resources [PDF]
Financial resources - PII [PDF]
Financial Risk Outlook (FRO)
Financial sanctions[PDF]
Financial Services Compensation Scheme (FSCS)
Frequently asked questions
FSA Handbook
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GABRIEL
GABRIEL [PDF]
Guide to management information to monitor the quality of advice [PDF]
IDD
Improving the quality of your advice process – recommendations (including research) [PDF]
Improving the quality of your advice processes – customer needs [PDF]
Improving the quality of your advice process - Post-sale [PDF]
Improving the quality of your advice processes – quality of advice [PDF]
Improving the quality of your advice processes – impartiality of advisers [PDF]
Improving the quality of your advice processes - management information and system and controls [PDF]
Income withdrawal
Industry Training
Integrated Regulatory Reporting
International Regulatory Outlook
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Key performance indicators [PDF]
Know your customer – does the information show the full picture? [PDF]
Know your customer (KYC)
Knowing your customer and assessing their needs [PDF]
Management Information (TCF)
Management information and system and controls [PDF]
Management information – does it show the full picture [PDF]
Management information – monitoring the advice given within your firm [PDF]
Management information – monitoring the quality of advice [PDF]
Management Information - new business register [PDF]
Management information self assessment tool [PDF]
Markets in Financial Instruments Directive
Matching risk – one minute guide
Meet the FSA
Meet the FSA - roadshows
Meet the FSA - surgeries
MiFID
Mystery shopping
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Network - factsheet [PDF]
Non-advised sales [PDF]
Passporting
Passporting [PDF]
Pensions - secured and unsecured
Pension switching suitability assessment template
Pensions transfers
Permisssions - waivers
PII [PDF]
Platforms – one minute guide
Platforms using fund supermarkets and wraps [PDF]
Possible agenda for initial customer meeting [PDF]
Practitioner Panel
Practitioner Panel for Small Businesses
Press releases
Principal
Principles-based regulation
Professional indemnity Insurance ( PII)
Professional Indemnity Insurance (PII) - new limits
Publications - consumers
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Quality of advice
Quality of advice – detailed findings
Quality of your advice – communication [PDF]
Quality of your advice processes – assessment of customer needs [PDF]
Quality of your advice processes – impartiality of advisers [PDF]
Quality of your advice processes - management information and system and controls [PDF]
Quality of your advice process – recommendations (including research) [PDF]
Quality of your advice processes – quality of advisers [PDF]
Quick guide to regulation [PDF]
RDR
Reform Order - financial services regulation
Regulation round-up
Regulatory capital [PDF]
REITs
Remuneration
Reporting
Research
Resources
Resources - what funds must I have?
Resources - what funds must I have? [PDF]
Retail Distribution Review
Retail Intermediaries Sector
Risks, matching to client
RMAR
RMAR - accuracy
Roadshow - FAQs
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SCDD - (services and costs disclosure document)
Self-assessment tool - TCF [PDF]
Senior management
SIPP operators
Small Business Practitioner Panel
Speeches
Start thinking about your money [PDF]
Stationery (and the FSA logo)
Structured products
Subordinated loans
Suitability reports
Suitability reports - financial advisers [PDF]
Suitability reports – do they tell the right story? [PDF]
Surgeries (one to one with FSA)
Systems and controls
Systems and controls revisions
Taping of telephone calls
TCF - one minute guide
TCF - case studies
TCF - good and poor practice
TCF - self assessment tool [PDF]
Training and competence
Transfers, Pensions
Turner review
Unsecured pensions
Using a compliance consultant [PDF]
Variation of Permissions
Venture Capital Trusts
VOPs
Waivers
Whistleblowing
Wraps [PDF]
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