Professional & Financial Services

Step-by-step routes through what professional & financial services businesses must do.

Curated by what's changing, what's most consequential, and where things go wrong.

The bodies that set rules and enforce compliance for professional & financial services.

Ranked by how much of the legislation this sector's guides cite each one enforces.

The Acts and statutory instruments that set duties for this sector.

Ranked by how many of this sector's guides cite each — the legislation most central to the sector appears first.

• Act
  Financial Services and Markets Act 2000 (opens in a new tab) Cited by 43 of this sector's guides
• SI
  Financial Services and Markets Act 2000 (Regulated Activiti… (opens in a new tab) Cited by 18 of this sector's guides
• Act
  Consumer Credit Act 1974 (opens in a new tab) Cited by 17 of this sector's guides
• Act
  Legal Services Act 2007 (opens in a new tab) Cited by 16 of this sector's guides
• Act
  Solicitors Act 1974 (opens in a new tab) Cited by 10 of this sector's guides
• SI
  Money Laundering, Terrorist Financing and Transfer of Funds… (opens in a new tab) Cited by 6 of this sector's guides
• SI
  Financial Services and Markets Act 2000 (PRA-regulated Acti… (opens in a new tab) Cited by 5 of this sector's guides
• SI
  Privacy and Electronic Communications Regulations 2003 (opens in a new tab) Cited by 5 of this sector's guides

All guidance for professional & financial services

88 guides for this sector.

Grouped by topic area, with the topic holding the most guidance first; within each, the most comprehensive guides lead.

All journeys

• Start a fintech business Launch a financial technology business requiring FCA authorisation
• Ongoing compliance for law firms Learning path for maintaining regulatory compliance at an authorised law firm: annual renewal cycle, COLP and COFA reporting, …
• Prepare your BNPL business for FCA regulation Preparation guide for Buy Now Pay Later providers and merchants ahead of FCA regulation from 15 July 2026. …
• Consumer credit compliance quick-check Quick compliance check for experienced consumer credit firms. Covers FCA permissions, fee payments, credit advertising, pre-contract disclosures, Consumer …
• Set up a financial services intermediary business
• Start a financial services business Launch an FCA-regulated financial services business with proper authorisation
• Start a law firm in England and Wales End-to-end learning path for setting up a law firm: choosing entity type, SRA authorisation, appointing COLP and COFA, …
• Start offering consumer credit to customers End-to-end learning path for businesses new to consumer credit. Covers understanding FCA regulation, obtaining authorisation, setting up pre-contract …
• Building regulations compliance for renovation Navigate building control approval, thermal upgrade requirements, and competent person schemes when renovating business premises
• Consumer rights compliance checklist Quick compliance check for traders selling goods, services, or digital content to consumers. Covers quality standards, remedies, distance …
• Get FCA authorised: from perimeter check to Connect submission A six-phase learning path for first-time applicants. Walks you from establishing whether you need authorisation, through choosing your …
• Respond to FCA enforcement action or investigation What to do if the FCA contacts your consumer credit firm about enforcement action, a skilled person review, …
• Set up an insurance or pension business
• Understanding consumer rights law for traders Learn your legal obligations when selling goods, services, or digital content to consumers. Covers the Consumer Rights Act …
• Law firm compliance quick check Rapid compliance audit for law firms: SRA authorisation, practising certificates, PII, client accounts, AML, complaints procedure, price transparency, …
• Set up an architecture, engineering or testing business
• Handle Section 75 claims from customers What to do when a customer makes a Section 75 connected lender liability claim. Covers validating the claim …
• Set up a professional, scientific and technical business
• Set up an advertising or market research business
• Meet anti-money laundering requirements Essential guide to AML compliance for UK businesses in regulated sectors. Covers registration with supervisors, customer due diligence, …
• AML compliance for legal services Learning path for law firms implementing anti-money laundering compliance: firm-wide risk assessment, client due diligence, source of funds …
• Address an FCA threshold-conditions concern What to do when FCA supervision has raised a concern that your firm no longer satisfies the threshold …
• Handling customer refund disputes When a customer demands a refund, what are your legal obligations? This guide helps you determine whether the …
• Quick perimeter check: do I need FCA authorisation?
• Respond to an SRA investigation Problem path for law firms facing SRA investigation: immediate steps, cooperation obligations, instructing specialist regulatory defence, responding to …
• Set up a management consultancy Learning path for new management consultancies and head offices. Work out which rules apply, put your workplace, employment …

Subsectors

SIC 2007 divisions covered by this sector.