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Do the FCA’s Principles for Business require a firm to give the best advice?

April 2018

This paper examines the apparent inconsistency in financial regulation concerning financial advice between the FCA’s Principles for Business and the EU MIFID Regime. It also explores the origins of best advice and suitability and argues that by failing to give best advice in both advised and non – advised sales firms may be in breach of MiFID. The paper will be of interest to all involved in the sale of regulated financial products and was published in JIBFL (Butterworths Journal of International Banking and Financial Law, Vol. 33, Issue 4 April 2018)

Do the FCA’s Principles for Business require a firm to give the best advice? JIBFL Vol. 33, Issue 4 April 2018.pdf


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