Browse all articles across people aspects of regulation and people development within UK financial services
The woman on the other end of the phone seemed pleasant enough, she thanked me for calling and asked how she could help, all in the first sentence. “Hello, could I make an appointment to see one of the partners please? I need a set of annual accounts preparing for my company’s year end.
Erm, it’s a little bit early for New Year Resolutions, isn’t it? No, it’s never too early to plan and the nights are drawing in, M&S have Christmas cards on sale and North Korea have changed their time-zone so it’s good enough for me.
One of the fundamental components of a T&C scheme under the FCA rules is measuring an Advisers’ behaviours through activity, file reviews, competency assessments, and direct feedback from clients. It’s not just about ticking boxes, it’s about how those boxed were ticked, and why.
Nick Smith of EAM Consulting looks at using the Kirkpatrick Four Levels to help with building the business case for a T&C initiative in your firm. To make the business case for a T&C initiative we need build a “chain of impact”.
This article is very futuristic, and if you’re the kind of person who likes the now rather than the future, then this isn’t for you. My predictions are based on futurism which takes a current evolving theme and projects it into the future to give a really good indication of what’s to come.
As the FCA 2015-16 Business Plan starts to come into effect, with the British public becoming increasingly aware of its implications on their finances, Unicorn Training’s Mark Jones asks does your training strategy do what your staff want? “We are seeing a degree of external regulation via the financial standards authorities.
The other morning, waiting to gain access to the training room at a client’s premises, the very friendly and helpful receptionist (if there are such things any more) asked me, rather cleverly I thought, what I did and what my favourite training course was.
I have worked in the insurance industry for 40 years in both underwriting companies and as Managing Director of a broker. If only I had known about coaching 13 years ago! After 9 years of coaching in the insurance industry with brokers and underwriters alike I know it makes a major difference to the coachees’
There isn’t anyone you speak to either inside or outside the financial services sector who doesn’t agree that there needs to be a cultural shift in the industry. If everyone agrees, why is it so hard? The main reason stems from the fact that we are creatures of habit.
How to present your ideas visually using PowerPoint and not a bullet point in sight Breathing life into your PowerPoint – from a presentation with visual aids to a visual presentation.
Unless you have been out of the country for a while, you can’t have failed to notice the plethora of Consultation and Guidance papers emitting from Canary Wharf which make reference to conduct, culture, behaviours, accountability and so on.
The thing about senior managers is that, they are senior and they manage things. On the other hand, the thing about learning and development is that learning supports development. Plans? well, don’t they just help people get from one place to another?
