For IFAs and Mortgage Brokers
There are two (2) places left on our next supervisory training workshop.
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 our next scheduled Supervisory Training Workshop are shown below.
- Date: Thursday 15th October 2015;
- Location: Newcastle upon Tyne;
- 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:
- These will be issued 10-14 days prior to the workshop.
Only 16 places are available on each course and 14 of those have been taken.
Pension Transfers – considering a workplace pension
Alistair MacDougall Compliance Defined Benefit, FCA, Pension, Pension Transfer, PI, Switch, transfer
We recently reviewed a pension transfer report where the client was recommended to transfer out of the defined benefit scheme into the client’s pre-existing SIPP. We considered that the recommendation to transfer appeared to be appropriate. However, the client had what the FCA calls an ‘available qualifying scheme’, more commonly referred to as a […]