Regulated firms must follow our rules. Find out how guidance can help them do that.
Regulated firms have to meet the principles and other rules set out in the FCA Handbook[1].
This guidance explains:
- the implications of our rules
- the possible ways of complying
- how to take a particular course of action
We also provide guidance outside of the Handbook. This consists of information and advice that we consider appropriate to help firms understand and meet their regulatory obligations.
We want firms to understand what we expect of them and our guidance material makes this clear.
Guidance material
This includes:
- case studies
- examples of good and bad practice
We also advise you on how to:
- use the Conduct of Business Sourcebook[2] to help you follow business rules and regulations
- advertise your financial products clearly and fairly
- manage and protect your business
- assess staff competency and technical knowledge
- give impartial advice on retail investments
- employ best practice
: Editorial amendment page update as part of the website refresh