A Guide to Training & Competence
The FCA TC Sourcebook requires all staff of a regulated firm to be competent for their role. This applies from the Chief Executive to...
A Practical Guide to Financial Promotions
Effective advertising will encourage clients and prospective clients to find out more about your firm and the services you offer. ...
Guide to Risk Profiling
Assessing your client’s attitude to risk is an essential element of the financial planning process. In addition, the regulator expects...