29 Jan

MASTER: Supervisor Workshop

We live in an ever-changing world of regulation. It’s a minefield (perhaps often, feels more like a battlefield?). But fear not, we’re running a workshop, which is specifically designed to improve the level of supervision within your firm, enabling you to get the most of our your supervisors, advisers, and everyone reducing risk across the whole company.

What will it cover?

This fully interactive workshop will focus on the knowledge, skills and behaviours required to meet and exceed the supervision requirements within a regulated financial planning firm. Through practical, scenario-based examples, the workshop will bring the challenges of supervision to life.

9.00 – 9.30 Arrival and refreshments

9.30 – 11.00 Regulatory framework

11.00 – 11.15 Refreshment break

11.15 – 12.30 The supervisor role

12.30 – 13.00 Lunch

13.00 – 14.30 Observation skills

14.30 – 14.45 Refreshment break

14.45 – 15.55 Personality and change management

15.55 – 16.00 Close

Why should I attend?

At the end of the course, delegates will be able to:

  • Explain the regulatory background and T&C rules
  • Explain the role of communication in effective supervision
  • Explain the learning process and utilise it to the benefit of colleagues
  • Demonstrate effective coaching and counselling techniques
  • Set and measure objectives effectively
  • Conduct effective observation meetings, giving appropriate feedback and setting follow up objectives

Who will be hosting?

The event will be hosted by Paul Taylor, of Apricity Compliance.

Paul is Compliance Support Manager in Apricity and has spent almost 20 years in Financial Services, predominantly as an adviser, before crossing over into the world of compliance.


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29th January 2020

10:00 am - 10:30 am


Book this event

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