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.