Financial Advisors & Investment Intermediaries - What the FCA Expects

Introduction

This new virtual classroom seminar will examine the FCA’s expectations for financial advisors and investment intermediaries.

The session will review the FCA’s priorities, and then delve into the main areas of scrutiny.

By the end of this session, you will feel more confident that you understand the FCA’s priorities and how your firm can evidence that it is working alongside the regulator.

It is suitable for financial advisors, paraplanners, compliance managers, and office managers of FCA authorised companies.

What You Will Learn

This live and interactive course will cover the following:

• The FCA’s priorities and focus for your firm
• Retirement income advice
• Ongoing advice services
• Polluter pays
• Consolidation
• What does this mean for your firm?
• How to ensure you are on the right track
• How best to proceed with projects in these areas

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.