Displaying 1-6 of 6 results
CPD Conference
- Event
- 28 Mar 2024
Catch up on your continuing professional development (CPD) with a half-day programme of bite-sized, verifiable sessions. Register for free to embark on your journey of continuous learning and get up to 2hrs 40mins of verifiable CPD.
ICAEW DPB License - Traffic Light Guide
- Research guide
- 03 May 2024
- PDF (293kb)
Traffic Light Guide to Investment Business Activity
Regulation deconstructed
- Research guide
- 21 Jan 2019
The guide explains how the FCA regulates financial & investment advisers, including an explanation of the differences between Independent and Restricted financial advice firms.
What’s on your radar? Practice issues you need to know about
- Webinar
- 15 Apr 2020
This webinar will alert you to changes in laws, regulations and best practice that you need to know about, and will provide a concise overview of what is happening in each featured field.
Designated Professional Body (Investment Business) licence
- Regulations
- 14 Apr 2011
Find out how you can enhance the services you already offer your clients with a Designated Professional Body (Investment Business) licence. This section explains what regulated investment business is, who is regulated, and how your firm can apply for a DPB (Investment Business) licence.
Exclusive
Introductions to financial advisers
- Helpsheets and support
- 01 May 2014
Helpsheet explaining regulations surrounding making introductions to financial advisers and the scope of the Financial Services and Markets Act 2000.
Displaying 1-6 of 6 results