SS10 (T) How to design and undertake a review of your T&C scheme

Map Unavailable

Date(s) - 26/08/2024
2:00 pm - 4:00 pm


The FCA provides guidance that all firms should consider having a T&C scheme even for those employees who perform activities that fall outside the scope of Appendix 1 of the T&C sourcebook. This is particularly relevant as you design your approaches for everybody connected to your customer journeys and strive to deliver good outcomes.

Why review your T&C scheme now?
Like most things that are left alone they may not work as effectively as they once did. Regulation has changed many times over the recent years and the question must be asked as to whether your T&C scheme has kept up.

You can consider asking a third party to undertake a review on you behalf bit there is an alternative

This 2 hour online workshop Jeff Abbott from 2be Development Consultancy sets out how you can design then undertake a review of your own T&C scheme

It’s straightforward enough to set up a review for what’s there.  It is more challenging to check up on what’s not there

The dates and sessions are as follows:-

Zoom Session
23 August
20 September

Teams Session
26 August
9 September

Who should attend?
This workshop is ideal for anyone who has a watching briefing or responsibilities for the operational effectiveness of your T&C scheme, This could include T&C Managers, Compliance Managers, HR Specialists

To know what a T&C scheme comprises
To identify the triggers of a T&C scheme review
To set the objectives of a T&C Review
To determine the standards and measures used during the review
To identify the sources of evidence to be used
To conduct a review
To structure your review report and ratings
To present your report
To facilitate action planning

How to book
To reserve a space at a workshop you must email stating which one you would like to attend.  You will receive a booking confirmation and a joining link nearer the workshop

How much does it cost to attend?
These workshops form part of our Summer School programme.  This comprises 4 X 1 week blocks of our popular workshops.  You can attend any workshop.

Each workshop is available for the special price of £40+VAT (normally £95 +VAT)

Please note
These events are workshops not webinars.  Delegates are asked to have their microphone enabled and ideally their camera engaged.
These sessions are not recorded.
In view of the special offer these sessions carry a full cancellation charge for either cancellation or a no show on the day.
Delegates are able to switch events to another Summer school session without additional charge, subject to availability


About Author

Avatar photo

I provide consultancy and support to UK based financial services companies helping them to design and implement practices that develop their people, achieve their business goals and comply with the needs of the regulators. I specialise in T&C, competence assessment and conduct which may be of particular interest to companies as they address the requirements of the Certification Regime and Code of Conduct requirements. My specialities include: Knowing you have a business to run Valuing your people as your greatest asset Keeping things simple, practical and relevant Engaging the business to promote ownership Ensuring Compliance is a natural by product of doing things well

Leave A Reply