- Financial Services and Markets Act 2000 — UK Financial Conduct Authority (FCA) — UK Financial Services Authority (FSA) — Undertakings for Collective Investment (UCIs)
A variety of professional firms, including accountants and actuaries, offer investment advice and conduct investment business in the course of trading. This can attract an authorization requirement under the provisions of the Financial Services and Markets Act 2000. This chapter focuses on solicitor firms. It describes the regime as it applies to solicitor firms, both as regulated historically and in relation to such firms carrying on mainstream investment business activity after 1 December 2001.
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