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Personal Financial Planning Regulation

Resources relating to Personal Financial Planning regulation.

Regulation deconstructed

The guide explains how the FCA regulates financial & investment advisers, including an explanation of the differences between Independent and Restricted financial advice firms.

LPAs – Do you really need one?

Making an LPA means that you are giving someone else authority to make decisions for you in relation to your finances or your future health and care. So, why should you do this?

Adviser Support from Prudential

The Prudential’s adviser website offers update on technical issues, numerous articles, anda number of recorded webinars.

Brexit: Retiring to France

Jason Porter writes about what to look out for those planning to retire to France in a shifing regulatory context.

A round-up of the 2019 Autumn budget from PruAdviser

The Government's plan is to build a stronger, more prosperous economy, building on the recent Spring Statement and last year’s Budget. Prudential’s Technical Managers have analysed the Budget and summarised what it means for you.

Designated Professional Body (Investment Business) licence


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.

A Guide to the FSA Retail Distribution Review (RDR)

Looking into the FSA Retail Distribution Review (RDR) and how it affects chartered accountants.

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