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. Details of the next scheduled supervisor workshop are shown below.
Supervisor Training Workshop – 24 October 2019
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.
Location: To be confirmed – likeley to be in the Midlands;
Duration: All day;
Cost: £200 plus VAT per person.
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 […]