PROD and financial advice: Six insights to help advisers get it right

clock • 4 min read

In the first of a three article series for Professional Adviser, based on an upcoming white paper, Ben Peele details how advisers can best tackle and comply with PROD rules PROD (product intervention and product governance sourcebook) was introduced alongside the second iteration of the Markets in Financial Instruments Directive (MiFID II) in January 2018 by the Financial Conduct Authority (FCA). It is here and needs to be dealt with. Unusually for a new regulation, PROD isn't actually an acronym, it is an abbreviation. However, we think the acronym works well as a reminder of the key...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

FCA warns on loan notes and mini-bond investment risks

FCA warns on loan notes and mini-bond investment risks

Urges consumers to be wary of high-risk investments

Jenna Brown
clock 20 August 2026 • 2 min read
SVS Securities CEO banned and fined

SVS Securities CEO banned and fined

Demetrios Hadjigeorgiou barred from working in senior management positions

Jenna Brown
clock 20 August 2026 • 2 min read
Suitability rules overhaul: Why firms should engage now, not later

Suitability rules overhaul: Why firms should engage now, not later

'The bigger shift is philosophical, not just structural'

Marjolaine Quirke
clock 19 August 2026 • 3 min read