Regulatory Requirements Tip Sheet for Advisers


For advisers wanting to brush up on their legal obligations then Fidelity Life’s one-page Compliance Obligations PDF could be worth reading.

In three brief sections of general guidance the tip sheet covers standard conditions of licencing, the code of professional conduct, and disclosure.

Fidelity Life recommends that advisers meet competent, knowledge and skill standards, as well as keep their company website up to date with the information required by the regulator.

The insurer’s tip sheet also touches on ethical behaviour, and transitional and full FAP licences.

Download Fidelity Life’s Compliance Obligations PDF here.