A reminder that we are running a supervisor’s training workshop on the 25th September.
It is important that firms can demonstrate that they meet the FCA’s rules and guidance and specifcally that “Firms should ensure that those supervising employees ……. have the necessary coaching and assessment skills ….. to act as a competent supervisor and assessor.
Find out more about our workshop here.
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Abridged Advice Report Tweaks & New Provider Text
Don’t get caught out by the transitional period.
The FCA has published rules that will apply following the end of the EU Withdarawal Transition in December 2020.
The FCA has concerns over the safeguarding of client assets.
The importance of ‘knowledge and experience’
Alistair MacDougall Compliance FCA, Mortgage, Pension, Pension Transfer, PI
How do you assess and take account of the client’s knowledge and experience?