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:
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.
LONDON VENUE TO BE CONFIRMED.Book this event
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