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Date/Time
Date(s) - 20/09/2017
9:30 am - 5:00 pm
Location
FSTP Venue TBC
Categories
When & Where
20 September London
Who should attend?
This thorough one-day course has been designed for:
- Employees providing suitable advice
- Staff tasked with assessing the suitability of advice
- Anyone involved in reviewing suitability assessment systems and controls
What are the outcomes of attending?
The regulator’s approach to assessing suitability
- Understanding the implications for your business
Know Your Customer (KYC): how much information is needed?
- Collecting client information
- The retention and review of client data
- How to hold KYC information
- What to do with a reluctant client
Risk profiling – what the regulator wants
- Best practice and common pitfalls
- Tips for establishing a client’s risk profile
- Has the client understood the risk category you’ve agreed upon?
Client files and reports
- What, when and how to record
- Evidencing suitability to your client (and the regulator)
- Suitability reports: a template for best practice
Suitability in the context of Treating Customers Fairly (TCF)
- Suitability reports and TCF
- File quality
- Remuneration
Review and close
- A review of the learning objectives
Who is running the workshop?
FSTP
What have previous delegates said about this workshop?
How much does it cost?
Single Booking £595.00 +VAT
Multiple Booking £535.50 +VAT
How do I book?
Call 0203 178 4230 or email info@fstp.co.uk today
