Managing T&C in a Changing Regulated Environment

Loading Map....

Date(s) - 21/06/2017
9:30 am - 5:00 pm



When & Where
21 June London

Who should attend?
  This one-day course has been designed for:

  • Compliance teams
  • HR departments
  • Training and development professionals
  • Line managers

What are the outcomes of attending?
The impact of higher standards of professionalism

  • How new standards affect advisers, supervisors and SIFs
  • Evidencing competence and improving ethics
  • Setting standards for continuing professional development (CPD)

The transition to new advice models

  • Competence in a post RDR world
  • Managing new talent in the financial adviser role
  • Investing in skills development

Reviewing policies and identifying improvements

  • Which elements of your T&C regime need to change?
  • Are current key performance indicators fit for purpose?
  • Case Study: Setting better indicators

Ensuring competent supervision

  • Understanding the regulator’s expectations
  • What “good” looks like in practice
  • Competence requirements for supervisors
  • How to assess a supervisor’s competence

New CPD requirements: rising to the challenge

  • Establishing a CPD policy and allocating responsibility
  • Top tips for aligning CPD with your business strategy
  • Exercise: Understanding what counts towards CPD hours

Statements of Professional Standing (SPS)

  • An overview of accredited bodies
  • Obtaining and renewing SPS on a continuous basis
  • Recognising eligibility criteria
  • The repercussions of failure to obtain SPS

Understanding the FCA’s approach to T&C

  • An intensive approach to training and competence
  • Looking for clues in the Risk Outlook

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


About Author

Leave A Reply