FCA rules and guidance state that “Firms should ensure that those supervising employees … have the necessary coaching and assessment skills … to act as a competent supervisor and assessor.”
It is important therefore that firms can demonstrate that they meet the FCA’s rules and guidance in this respect.
ATEB provides training to address this need.
Supervisor Training Workshop – 18 May 2017
This workshop is aimed at new supervisors and will cover the following aspects.
- Overview of general T&C requirements on regulated firms;
- Setting customer facing sales process standards;
- Consistent and accurate assessment skills;
- Theory of coaching and training;
- Training Needs Analysis completion;
- Constructing SMARTA development plans;
- Structuring one to ones;
- Monitoring performance.
Details of the next scheduled Supervisory Training Workshop are shown below.
- Date: Thursday 18th May 2017;
- Location: Newcastle upon Tyne;
- Duration: All day;
- Cost: £200 plus VAT per person.
Joining Instructions will be issued 10-14 days prior to the workshop.
*** Only 16 places are available on each course ***
Please reserve your place as soon as possible.
Supervisor Skills Workshop – date to be confirmed
This workshop is aimed at existing supervisors who wish to take their skills to the next level. This practical one day workshop covers the following aspects.
- Regulatory background
- What makes an effective people manager?
- Situational leadership -a practical technique for managing performance
- Effective communication – listening and question skills
- Developing people – coaching, observation and feedback skills
- Managing Performance and running effective 1:1 meetings
Please register your interest in this course as indicated below.



Conduct Rules Breaches – follow up
Huw Reynolds Compliance Conduct, FCA, Pension, Senior Manager, Update
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended to clarify some of the grey around COCON breaches. All of the following is taken from Policy Statement PS 18-14. When is disciplinary action required? When and how a firm decides to undertake disciplinary action […]