For IFAs and Mortgage Brokers
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.”
To address this need, ATEB has updated its supervisor’s course in line with changes introduced at RDR. We have scheduled two (2) courses as detailed below.
Dates:
- Tuesday 30th July
- Thursday 5th September
Venue:
- Newcastle upon Tyne
- Further courses will be run in other areas in due course
Duration:
- All day
Cost:
- £200 plus VAT per person
Content:
- 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.
Joining Instructions:
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These will be issued 7-10 days prior to the workshop.
Only 16 places are available on each course and will be allocated on a first-come, first-served basis.
FCS Transitional Arrangements
Steve Bailey Compliance Update
As you will be aware the Financial Services Authority ceased to be and the Financial Conduct Authority took over the regulation of financial advice firms on 01 April 2013.
The FSA issued PS13/05 last week which includes updated rules and transition arrangements. The policy statement itself is 88 pages but the ‘appendix (3)’ that accompanies it is a mere 1990 pages so you must excuse us for not as yet absorbing every word. The document can be seen here.