Monthly Archives: May 2011

  • Adviser quiz

    As in previous years we’ve prepared some multiple choice questions which you could use as part of an annual competency assessment for advisers. If member firm’s principals would like a... Read more.

  • RDR – Diploma

    Most of you appear to be in the process if getting to grips with the FSA’s qualification requirements post RDR but in case there are still a few grey areas... Read more.

  • Risk Profiling

    As some may be aware the FSA has been looking at the varying approaches firms use in establishing and recording a clients risk profile. Earlier this year we had considered... Read more.