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Regulation

  • Brand Bitesize: Consumer Duty

    Posted by on November 11, 2025

    The FCA’s Consumer Duty has transformed how firms interact with retail customers. This video breaks down what it means...

    Brand Financial Training

  • Understanding the Financial Ombudsman Service

    Posted by on September 10, 2024

    In this article, we look at the Financial Ombudsman Service (FOS), focusing in particular on the process to be...

    Brand Financial Training

  • Brand Bitesize: Client Assets and Client Money

    Posted by on May 14, 2024

    To help you prepare for your CII R01 exam, this Brand Bitesize video explains the rules surrounding client assets...

    Brand Financial Training

  • Getting to Know the ‘Know Your Customer’ Rules

    Posted by on March 26, 2024

    Here, we take a look at the ‘know your customer’ rules, focusing, in particular, on investment objectives - useful...

    Brand Financial Training

  • Importance of Ethical Conduct in Financial Services

    Posted by on July 11, 2023

    Ensuring ethical conduct is crucial within the financial services industry, where the reputation of financial advisers and firms hinges...

    Brand Financial Training

  • Handling Complaints as a Financial Services Firm

    Posted by on May 9, 2023

    Each financial services firm must have and publish a written complaints procedure to deal with complaints from eligible complainants....

    Brand Financial Training

  • UCIS – CII R02 and AF4 exams

    Posted by on July 3, 2013

    Here, we look at UCIS – of interest to those studying for the CII R02 and AF4 exams. The...

    Brand Financial Training

  • Financial qualifications are just a mess for consumers

    Posted by on June 12, 2012

    Consumer protection through effective regulation is rightly the mantra of financial services – but does the consumer really understand...

    Brand Financial Training

  • Pre-RDR trail commission

    Posted by on March 6, 2012

    Content on this page has been removed as it is no longer relevant. Refer to the FCA website for...

    Brand Financial Training

  • Financial Services Reform Mapped out with New Bill

    Posted by on June 20, 2011

    The government has published a new financial services regulation roadmap laying out how consumer protection will be bolstered with...

    Brand Financial Training