16 Sep 2024, 10:00 am - 11:00 am | UK & Europe
The FCA’s retirement income advice review and Dear CEO letter highlighted a number of key areas for firms to review in the wake of the regulator’s findings. With increased FCA scrutiny likely against the backdrop of the Consumer Duty, it’s worth putting your retirement income advice through its paces to see whether it holds up to regulatory muster.
In this webinar, our team was joined by EV’s Group Innovation Director Andrew Storey to look at the review’s key findings, and how you can apply these learnings to strengthen your advice processes. We covered:
- income withdrawals, risk profiling, and Know Your Client information
- ongoing reviews and record-keeping
- controls including MI, governance, and the FCA’s RIAAT tool.
Speakers
Michael joined our team following 16 years at the FCA, most recently as a Technical Specialist in Consumer Investments supervision. He has an in-depth understanding of the regulatory frameworks governing advised and non-advised pension/investment sales, product governance, complaints and redress.
Andrew Storey
Andrew Storey is Group Innovation Director at EV. He provides a unique combination of actuarial, technical and user experience skills to design and deliver innovative planning and suitability solutions for financial guidance, digital advice and face-to-face advice.
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