Where can I check if a wealth manager is regulated?

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Ensuring your wealth management firm or wealth adviser has the necessary regulatory license and the relevant qualifications and expertise should be amongst your highest priorities when choosing who to trust your finances with.

Who regulates wealth managers in the UK?

The Financial Conduct Authority is responsible for regulating wealth managers in the UK.

Wealth managers will have deep knowledge and, in some cases, access to every area of your finances within their role as your wealth provider. Even if you trust a wealth manager completely you should ensure that the firm they represent a company or as an individual are listed on the FCA register.

As well as regulatory information the FCA register it will also provide personal and contact details of those in the business, certification details.

Wealth management certifications

You may also wish to ask your prospective wealth managers for details of any other certificates or qualifications they may have, for example, are they registered as a chartered wealth manager with recognised bodies like;

As well as upholding investing and advisory best practices, chartered wealth managers will normally have a set of ethical and professional standards to uphold as part of a code of conduct and client management best practices.

It can be a good idea to familiarise yourself with things like complaints procedures, disciplinary handling and their code of conduct policies if you are choosing a chartered service.

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