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CPD September Briefing: FCA releases thematic reviews

The latest edition of Newsbrief counts as 1 hour of structured CPD and covers the regulatory and marketplace changes that took place during August 2014. Visit the Money Marketing CPD Centre to answer 10 multiple choice questions and complete this CPD activity.

Just click into your CPD Plan and you’ll find each month’s marketplace changes round-up in your activity list.

Not yet registered? Join for free today at and access more than 35 hours of independent, accredited CPD learning content. 

Learning objectives (full list of ApEx standards covered below)

Learning objectives

By reading this edition of Newsbrief and completing the MCQ test online you will be able to:

  • Update your knowledge of marketplace changes
  • Update your knowledge of regulatory changes


Financial services regulation and ethics

Investment principles and risk

Personal tax


ApEx standards covered in this edition of Newsbrief:

Subject area Learning outcome and indicative content
Financial services regulation and ethics The regulatory advice framework in practice for the
− Client relationships and adviser responsibilities
Investment principles and risk The characteristics, inherent risks, behaviour and
correlation of asset classes
− Cash and cash equivalents
The macro-economic environment and its impact on
asset classes
− Main long-term UK and global socio-economic trends
− The key economic indicators
The characteristics, tax treatment, inherent risks and
behaviours of investment products
− Collective vs direct investment
Personal tax The UK tax system
− UK tax compliance
− Residence and domicile
Mortgages The house-buying process
− The mortgage and buying process



Labour conference 2014: What did we learn?

Labour has just closed its annual conference in Manchester and for financial services there was plenty to chew over. In its final gathering before the general election, the party proposed tax rises, increases to the minimum wage and fleshed out its position on pensions reform after the Budget. The NHS was identified as the top […]


‘Offensive and bizarre’: Advisers hit back over MAS chief’s ‘ethics’ concerns

Advisers have reacted furiously to comments questioning the ethics of the profession made by the chief executive of the Money Advice Service. MAS boss Caroline Rookes said she was personally “worried about the ethics of regulated advisers” during a fringe meeting at the Labour Party conference in Manchester earlier this week. She said: “Am I […]


MM leader: Devo-max risks mean financial firms still wary

This time last week the financial services industry was braced for significant upheaval as it waited to hear what fate Scotland had decided for the union.  There were some advisers, including self-styled “expat Scot” Lee Robertson of Investment Quorum, who were dedicated enough to follow the results through the night. Following the vote, which saw […]

David Shelton: How to make marketing effective

If your business has a marketing budget and you are intending to adopt an organised approach to marketing you should consider the following: Give the job of “marketing” to someone who has time to do it – it simply will not happen if it is added to an already busy schedule Give them some training […]


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