Retail Investment Advice in the UK
Refreshed June 2024 | CPD time: 1 Hour
This module will consider the regulator’s definition of advice. It will also explore the background and give an overview of retail investment advice, as well as personal recommendations, an overview of suitability and appropriateness, and implications. Finally, we will look at the latest regulatory proposals for changes to the advice regime.
1. Background and Overview
2. Personal Recommendations
3. Suitability – an Overview
4. Appropriateness – an Overview
5. Implications and Conclusion
Module Test