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Retail Investment Advice


United Kingdom

Retail Investment Advice

This paper summarises the regulation in the UK of investment advice – for two reasons.  First, it has become a very complicated area – not just dealing with MiFID investment advice but the original wider scope of the Article 53 of the UK Regulated Activities Order definition of investment advice.  Secondly, it is useful to distinguish between the relevant regulation for each type of advice as much of the confusion in the marketplace has arisen from uncertainty in this area.  The FCA have sought to clarify matters in their Finalised Guidance FG15/1: Retail Investment Advice issued in January 2015.

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