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FSRE 2 · Different Advice Models
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Different Advice Models
The difference between regulated advice and guidance, restricted vs independent, and when execution-only is appropriate.
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Different Advice Models
3.6.1 – 3.6.5 Regulated vs Non-Regulated Advice
Question 3
True or false?
3.6.1 – 3.6.5 Regulated vs Non-Regulated Advice
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What the exam tests
The difference between regulated advice and guidance, restricted vs independent, and when execution-only is appropriate.
Question 5
True or false?
The difference between regulated advice and guidance, restricted vs independent, and when execution-only is appropriate
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Additional notes
Question 7
Which term matches: "Personal recommendation to a retail client regarding a specific investment or mortgage; requires authorisation"
Question 8
What does "Guidance" mean?
Question 9
Match each term in "Additional notes" to its meaning
Tap a term, then tap its matching definition.
Question 10
Fill in the blank
______ — Limited-scope personal recommendation on a single product area (e.g. ISA)