San Francisco, California
London, United Kingdom
Financial Liverpool Breakfast CPD Workshop
Tuesday 12th May 2015
THIS IS AN ADDITIONAL EVENT TO OUR USUAL PROGRAM – SO PLEASE NOTE THE VENUE AND TIMING
The FCA has, once again, highlighted that they prefer to see Suitability Reports which have been specifically tailored to each individual client. They say that personalisation of Suitability Reports is the ‘best defence’ against regulatory action over centralised investment propositions.
This meeting will include group exercises looking at good and bad examples of fact finds and suitability reports. There will also be a demonstration of the new version of the PPOL reporting system which incorporates the FCA recommendations, following Paradigm guidance.
To understand the FCA requirements for personalised suitability reporting, to recognise good practice and to identify how improvements to the reporting process can be made.
About the Speakers
Graeme Stewart – Paradigm
Graeme is the Compliance partner with Paradigm, where he manages a team of compliance consultants enabling them to deliver pragmatic compliance support, face to face, to their Partner firms. His team works closely with financial planners, particularly where have been asked to participate in thematic reviews or to prepare them for FCA visits.
Prior to joining Paradigm at launch in 2007, John managed a team of Compliance Consultants for Sesame.
John Delaney – PPOL
In 2003, John established a paraplanning company with a plan to develop a suitability report writing product. After 3 years of intensive development, this came to fruition in 2008 as Paraplanning Online (PPOL). A continuing programme of improvements and new features keeps it cemented as the market leader. John brings 13 years of management experience in financial services and 5 in customer focused business to the table.
When & Where
Financial Liverpool is a society for professionals working in the financial services sector in Liverpool, including financial advisers, discretionary fund managers, pension providers, private client lawyers etc.
We host ten meetings per year, usually the last Friday of the month.
The current format is a talk for about an hour followed by a lunch where you can network with fellow members. The events start at noon and are hosted by Tilney BestInvest in the Royal Liver Building.
The events are free for members, and membership is free if you are a member of CII/PFS (otherwise a charge of £50 applies for your firm's annual membership).
Click here for more information on how to join.
Financial Liverpool used to be called Merseyside Life & Pensions.