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This section provides you with some useful CPD resources covering the various topics around regulation and compliance to assist you in meeting your professional development needs.

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Regulation and Compliance

From independence vs restricted to thematic reviews this section provides CPD resources to help you and your firm operate compliantly.

Later life - why care?

Financial advisers need to understand the key provisions for the government's Social Care Reform Bill and the major impact it will ha...

FCA's 2013 thematic reviews of advice

The FCA has been conducting several key thematic reviews of advisers' behaviour in the first year of RDR. The regulator is collecting...

Independent & restricted

There are many misconceptions and myths around the new rules for new definition of independent advice that will apply from 1 January ...

The New regulator and risk based compliance

Phillip Moore, Action Consultiong, looks at the new regulator, The Financial Conduct Authority (FCA), and the implications of a new r...

The top 10 compliances issues moving into 2015

Learning Objectives: at the end of this session you will be able to: Identify the top 10 compliance issues moving into 2015 De...