Name
Compliance Clinic: Effective Supervision & Monitoring in a Consumer Duty World
Date & Time
Monday, June 3, 2024, 2:00 PM - 3:00 PM
Description
Hosted by our Director of Regulatory Consultancy and Advice Quality, Jennifer Peaty, and Head of Compliance Operations, Jill Hamilton, this 60-minute session will provide an overview of what constitutes effective monitoring and supervision in a regulated environment, and how this can both mitigate risk within your business and provide key Consumer Duty MI.
The Clinic provides an hour’s worth of CPD and will cover:
Regulatory expectations and supervisory requirements
Adviser journey:
- Recruitment process.
- Attaining and maintaining competence.
- Effective monitoring.
- Training and testing.
- Key Metrics/KPIs.
- Certification requirements.
Key Consumer Duty MI:
- Vulnerable clients.
- Advice suitability / file reviews.
Session Type
Workshop