Demonstrating & Evidencing Suitability

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Date(s) - 20/09/2017
9:30 am - 5:00 pm



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?

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 today


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