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.
Advising non-UK clients
Alistair MacDougall Compliance Conduct, EEA, email, EU, FCA, MiFID, passport, PI, vulnerable
Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are still asked for advice around how a UK firm can take on a new non-UK client or continue to deal with such clients that the firm had pre-BREXIT. We have written before about the general […]