Resources relating to Personal Financial Planning regulation.
The guide explains how the FCA regulates financial & investment advisers, including an explanation of the differences between Independent and Restricted financial advice firms.
Making practical uses of your DPB Licence
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.
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.
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.
Helpsheet explaining regulations surrounding making introductions to financial advisers and the scope of the Financial Services and Markets Act 2000.
Resources relating to Personal Financial Planning regulation.