Assessing Suitability - Pension & Investment Advice

ASSESSING SUITABILTY OF ADVICE

• Understand the FCA’s focus on evidencing suitability correctly
• The file checking process
• Finding mistakes in SR reports
• The critical link between FF and SR
• Your approach to risk profiling in KYC
• Common file check errors

60 minute session - starts at 10am until 11am.

Ideal for advisers whose files continue to fail the file checker assessment and those wanting to ensure file excellence.

To be taken by Colin Higgin-Botham

IFAC Members - free to attend.