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Regulation

Resources relating to regulation.

Mind the gap: Meeting the RDR qualification standards and gap-fill

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Gillian W Tait, Managing Director, Competent Adviser Ltd and John Gaskell, Financial Services Faculty, Financial Planning and Advice Manager, speak on how you can Meet the RDR qualification standards and gap-fill.

Introductions to financial advisers

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Helpsheet explaining regulations surrounding making introductions to financial advisers and the scope of the Financial Services and Markets Act 2000.

Independent and restricted advice

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The FSA has published their finalised guidance on independent and restricted advice. Advisory firms providing their feedback to the consultation said the guidance was useful.

Independence day

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Investment advisors are expected to provide an unbiased and transparent service. Tom Sheridan examines what the new definitions mean for business practice.