02 Apr 2025, 10:00 am - 11:00 am | UK & Europe
The FCA’s review of financial advisers’ ongoing services has left firms with the challenging task of reviewing their historic and future approaches to service delivery. And with the regulator due to check whether firms have taken necessary remedial action later this year, it’s important to act now.
In this webinar, we’ll delve into the implications of the FCA’s findings for the sector. We’ll also discuss how reviewing your ongoing service proposition offers the opportunity to reduce the risk of costly liabilities and regulatory intervention, while also delivering more efficient and effective ongoing review processes.
As part of this, we’ll be focusing on:
- how to review historic service delivery
- remedial action and redress
- the key ingredients to effective policies, procedures and controls
- the potential content and implications of the FCA’s upcoming review of the ongoing service rules.
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.
