Certification and SPS – when two worlds collide


Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of Professional Standing (SPS). An SPS can only be issued by an FCA appointed accredited body and confirms that an adviser: Has adhered to a code of ethical standards Holds the required qualifications for the activities they undertake; and Has completed appropriate CPD and complied with APER (Statements of Principle and Code of Practice for Approved Persons) or the new COCON…

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About Author

The consequences of interpreting regulation incorrectly; designing policies, processes and procedures poorly; weak training or inadequate supervision can lead to poor consumer outcomes, no return on investment or possible regulatory intervention. I provide services and support for people aspects of regulation and people development for UK based financial services companies. My clients include banks, building societies, product providers, networks and other larger financial services companies. My specialities include: Regulated Training & Competence T&C Health Checks and Audits Competency frameworks and schemes Conduct Risk, culture and TCF Leadership, management and supervisor development Coaching Competence assessments Development of T&C Capability in Firms Certification & Code of Conduct Health Checks Consultancy and support in connection with any of the above elements.

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