CISI Investment Advice Diploma Practice Questions - CISI Level 4 Investment Advice Diploma (IAD) Exam

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Under the UK regulatory architecture introduced by the Financial Services Act 2012, which body is the conduct regulator responsible for the regulation of retail investment advice firms?

The Financial Conduct Authority (FCA) The Prudential Regulation Authority (PRA) The Financial Policy Committee (FPC) The Bank of England

Correct Answer:

The Financial Conduct Authority (FCA)

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