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Any investment adviser seeking to advise a client must understand the impact of regulations on the provision of services for investment customers.;Taking the Financial Services Act 1986 as its starting point, this workbook examines in detail how financial regulation affects investment decisions and protects customers. It also explains the responsibilities and operation of the compliance department within member firms and the monitoring methodology required. Significant coverage is devoted to associated legislation on everything from consumer credit to the City code on take-overs and acquisitions.