Financial advisers library

The FSA library contains documents that will be of relevance to your firm.

To help you find what you need, this page contains direct links to some of the library documents that you might find useful.

Publication name	Date
Delivering the RDR: Professionalism, Pure protection and Corporate pensions	December 2009
Financial Advisers and Passporting [PDF]	July 2009
RDR review	June 2009
Distributor influenced funds	December 2008
Review of Prudential Rules for Personal Investment Firms (PIFs)	November 2008
Simplifying Disclosure: Changes to Disclosure Documentation for investment business from 6 August	August 2008
Exchange of views between the FSA and a practitioner about the increased supervision of small firms [PDF]	March 2008
Guide to the new conduct of business sourcebook for small firms [PDF]	24 August 2007
Possible agenda for initial customer meeting [PDF]	June 2007
Suitability reports [PDF]	June 2007
Do your suitability reports tell the right story? [PDF]	June 2007
Customer survey [PDF]	June 2007
Management Information: Does it show the full picture? [PDF]	June 2007
Customer file reviews [PDF]	June 2007
Knowing your customer and assessing their needs [PDF]	June 2007
Financial resources for investment firms [PDF]	March 2007
Other
RDR Questionnaire	January 2010
Long-stop	October 2009
Structured products template and guidance	October 2009
Consolidators
Pension reform and advice
Frequently asked questions - pension switching advice follow-up work	April 2009
Small firms approach to financial sanctions [PDF]	April 2009