Regulatory guide for the financial services industry – a key resource for authorisation
This comprehensive handbook, produced by Strategi Institute, should be on every adviser’s ‘must read’ list. This new resource for the entire industry expands on and updates the previous publication, A Reference Guide to Key Legislation and Code of Professional Conduct Edition 4.
This regulatory guide is a key reference resource for those undertaking the Financial Advice Strand assessments. It reflects the new content, plus incorporates all the latest legislative and regulatory changes, and FMA guidance notes.
The problem for many financial advisers, QFEs, employers and networks, is that so much has changed in recent years that it is often difficult to figure out what one now needs to know to be compliant. This valuable resource solves that problem. This guide can help AFAs to meet their Code Standard 14 and 15 obligations, and help all other financial advisers to meet, as a minimum, the conduct obligations contained in section 33 of the Financial Advisers Act.
The regulatory guide is available as a PDF digital resource, but can also be purchased as a spiral-bound handbook (branded print runs can be organised for QFEs, product suppliers and networks).